small grants volunteer handbook 2012 - peace corps

October 22, 2012

Peace Corps Small Grants Program

Volunteer Handbook

Table of Contents FOREWORD ........................................................................................................................................................... 1

INTRODUCTION ..................................................................................................................................................... 2

ROLES AND RESPONSIBILITIES................................................................................................................................ 4

I. VOLUNTEERS AND COUNTERPARTS ....................................................................................................................... 4 II. PEACE CORPS POSTS ......................................................................................................................................... 4

A. Country Director ........................................................................................................................................... 4 B. Director of Programming and Training ........................................................................................................ 5 C. Small Grant Coordinator .............................................................................................................................. 5 D. Associate Peace Corps Director, Program Manager, and Programming and Training

Assistants/Specialists ................................................................................................................................... 5 E. Director of Management and Operations and Financial Assistant .............................................................. 5

III. SMALL GRANT COMMITTEES ............................................................................................................................... 5 IV. PEACE CORPS/HEADQUARTERS ............................................................................................................................ 6

A. The Office of Gifts and Grants Management ............................................................................................... 6 B. The Office of Intergovernmental Affairs and Global Partnerships ............................................................... 6 C. The Office of Global Health and HIV ............................................................................................................ 6

V. PEACE CORPS PARTNERS AND DONORS ................................................................................................................. 7

PRE-GRANT PLANNING .......................................................................................................................................... 8

I. THE ROLE OF OUTSIDE RESOURCES ...................................................................................................................... 8 II. SMALL GRANT FUNDING IN THE CONTEXT OF THE PEACE CORPS APPROACH TO DEVELOPMENT ....................................... 9 III. COMMUNITY OWNERSHIP ................................................................................................................................ 10 IV. OTHER CONSIDERATIONS ................................................................................................................................. 10

GRANT REQUIREMENTS ....................................................................................................................................... 12

I. BASIC GRANT REQUIREMENTS ........................................................................................................................... 12 A. Community Initiated .................................................................................................................................. 13 B. Meet a Community Need ........................................................................................................................... 13 C. Demonstrate Sustainability........................................................................................................................ 13 D. Demonstrate Capacity Building ................................................................................................................. 14 E. Incorporate Monitoring and Evaluation .................................................................................................... 14 F. Include Indicators of Success...................................................................................................................... 15 G. Community Contribution ............................................................................................................................ 15

II. UNALLOWABLE COSTS ..................................................................................................................................... 16 III. COSTS THAT REQUIRE A COUNTRY DIRECTOR’S APPROVAL (WAIVER)........................................................................ 17 IV. PROJECTS THAT REQUIRE SPECIAL CONSIDERATION ............................................................................................... 18

A. Scholarship Programs (PCPP and SPA Only) .............................................................................................. 18 B. Training and Skills Building Camps ............................................................................................................ 19

APPLICATION PROCESS ........................................................................................................................................ 21

I. FUNDING AVAILABILITY .................................................................................................................................... 21 II. WHEN A VOLUNTEER CAN APPLY ....................................................................................................................... 21 III. COMMUNITY INVOLVEMENT ............................................................................................................................. 22 IV. REQUIRED MATERIALS AND PROJECT DEVELOPMENT ............................................................................................. 22 V. REPORTING AND INDICATORS ............................................................................................................................ 25 VI. GRANT COMMITTEE REVIEW ............................................................................................................................. 26

SMALL GRANTS APPLICATION .............................................................................................................................. 27

I. MAIN MENU ................................................................................................................................................. 27

II. INSTRUCTIONS ................................................................................................................................................ 27 III. PROJECT CLASSIFICATION ................................................................................................................................. 28 IV. PROJECT DESCRIPTION ..................................................................................................................................... 29 V. GOALS AND OBJECTIVES ................................................................................................................................... 29 VI. TIMELINE ...................................................................................................................................................... 30 VII. DO NO HARM ................................................................................................................................................ 30 VIII. MONITORING AND EVALUATION ........................................................................................................................ 30 IX. DETAILED BUDGET .......................................................................................................................................... 32 X. GRANT TYPE SELECTION MENU ......................................................................................................................... 33 XI. SIGNATURE FORMS ......................................................................................................................................... 33

A. Liability Form ............................................................................................................................................. 33 B. Project Agreement ..................................................................................................................................... 33 C. Press Authorization Form ........................................................................................................................... 33

PROCESSING APPROVED PROJECTS ..................................................................................................................... 34

I. PROCESSING GUIDELINES FOR ALL SMALL GRANT PROJECTS .................................................................................... 34 A. Prior to Receiving Funds ............................................................................................................................. 34 B. Disbursement of Small Grants Funds ......................................................................................................... 34

II. PROCESSING APPROVED SPA/VAST/ECPA/FTF GRANTS ..................................................................................... 34 III. PROCESSING APPROVED PCPP GRANTS .............................................................................................................. 35

A. Fundraising for Projects ............................................................................................................................. 35 B. Obligation and Sending of Funds from PC/headquarters .......................................................................... 36 C. Budget Amendments ................................................................................................................................. 36 D. Use of Country Funds to Support PCPP Projects ........................................................................................ 37

GRANT MANAGEMENT ........................................................................................................................................ 38

I. VOLUNTEER, COMMUNITY, AND POST MANAGEMENT OF GRANT FUNDS .................................................................. 38 II. USING THE PROJECT LOG AND VERIFYING RECEIPTS ............................................................................................... 38 III. POST-APPROVAL CHANGES TO GRANTS .............................................................................................................. 39 IV. SUPPLEMENTAL FUNDING AMENDMENTS ............................................................................................................ 40 V. UNUSED FUNDS ............................................................................................................................................. 41 VI. LOST OR STOLEN FUNDS ................................................................................................................................... 41 VII. EARLY TERMINATION AND TRANSFER OF PROJECT RESPONSIBILITY ............................................................................ 42

A. Early Termination....................................................................................................................................... 42 B. Transfer of Project Responsibility ............................................................................................................... 42 C. Canceling a Project .................................................................................................................................... 43

VIII. LOGOS, BRANDING AND MARKING ..................................................................................................................... 43 A. Peace Corps Logo Guidance ....................................................................................................................... 43 B. SPA and FTF Logo Guidance ....................................................................................................................... 44 C. VAST Logo Guidance .................................................................................................................................. 44

SMALL GRANTS COMPLETION REPORT ................................................................................................................ 46

I. MAIN MENU ................................................................................................................................................. 46 II. INSTRUCTIONS ................................................................................................................................................ 46 III. PROJECT CLASSIFICATION ................................................................................................................................. 47 IV. PROJECT DESCRIPTION ..................................................................................................................................... 47 V. MONITORING AND EVALUATION ........................................................................................................................ 47 VI. PROJECT LOG ................................................................................................................................................. 48 VII. TELL YOUR STORY ........................................................................................................................................... 49 VIII. GRANT TYPE SELECTION ................................................................................................................................... 49 IX. SIGNATURE FORMS ......................................................................................................................................... 50

A. Completion Signatures ............................................................................................................................... 51 B. Press Authorization Form ........................................................................................................................... 51

PROJECT CLOSEOUT ............................................................................................................................................. 52

I. COMPLETION REPORT ...................................................................................................................................... 52 A. Submission of Completion Report to Post’s Small Grants Coordinator by the Volunteer .......................... 52 B. Submission of Completion Report to PC/headquarters by Post’s Small Grants Coordinator ..................... 52

II. REPORTING AND INDICATORS ............................................................................................................................ 53 III. VERIFYING BUDGET AND RECEIPTS ..................................................................................................................... 53 IV. RETURNING FUNDS ......................................................................................................................................... 54

FREQUENTLY ASKED QUESTIONS ......................................................................................................................... 56

APPENDICES......................................................................................................................................................... 61

APPENDIX 1: ESTIMATING THE VALUE OF IN-KIND CONTRIBUTIONS ................................................................................. 62 APPENDIX 2: SMALL GRANTS WAIVER FORM .............................................................................................................. 63 APPENDIX 3: GUIDANCE FOR DETERMINING PARTICIPANTS VS. BENEFICIARIES ................................................................... 64 APPENDIX 4: TRANSFER OF RESPONSIBILITY FORM ........................................................................................................ 67 APPENDIX 5: MANAGING GRANT FUNDS AND PROJECT CLOSEOUT .................................................................................. 69

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Foreword Dear Peace Corps Volunteers, Counterparts, and Communities: Small grants can make a significant difference in a community’s development. Whether it is bringing young girls together to participate in a GLOW camp, introducing clean cookstove technology to a local women’s group, or implementing an HIV/AIDS training for at-risk individuals, small grants can lead to lasting positive change. Volunteers have many opportunities to assist their communities in accessing small amounts of funding for such projects. It is my pleasure to present the Peace Corps Small Grants Program Volunteer Handbook. This resource was developed to assist Volunteers and their counterparts in the development, implementation, and evaluation of small development projects in their communities. Peace Corps Volunteers considering implementing small grant projects at their sites with their communities should thoroughly review this handbook prior to implementing a project. The Peace Corps Small Grants Program includes Small Project Assistance (SPA), Peace Corps Partnership Program (PCPP), Volunteer Activities Support and Training (VAST), Energy Climate Partnership of the Americas (ECPA), and Feed the Future (FTF). Though each program is supported by different funding sources, they all share the same goal: to facilitate the development and implementation of sustainable grassroots small grant projects that build capacity in communities where Volunteers serve. This handbook will assist you to design and monitor capacity-building projects with your communities. With these tools, Volunteers and communities will be better able to accurately capture outputs and outcomes of their projects, and ultimately tell the story of Peace Corps’ impact in the field. I thank you for your service, and I wish you and your communities all the best in implementing projects that enhance local capacity development. Carrie Hessler-Radelet Acting Director

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Introduction Approved Peace Corps funding for small projects is available to Volunteers and the community organizations with which they work. This handbook for Volunteers provides guidance on the processes, procedures, materials, and requirements for the Peace Corps Small Grant Program. Although each funding source has some distinctive characteristics and requirements, the Peace Corps guidance for all small grant projects is uniform to the maximum extent possible. Volunteers should read this handbook thoroughly to understand the basic rules and requirements that are applicable for all small grants. Volunteers should also contact their post’s small grants coordinator to follow up with questions that may arise in the process of developing, writing, implementing, and completing small grant projects. Volunteers should not propose a project until they have received Project Design and Management (PDM) training, through which they will be better equipped to work alongside their communities to develop strong, successful, and lasting projects. This handbook should not replace PDM training, but rather serve as a guide to the logistics of successfully completing the small grant application and assisting with the procedures for implementing and monitoring a small grant project. Note: Volunteers cannot directly accept funds for small projects from sources outside of the Peace Corps Small Grant Program (i.e., from friends and/or family or grants from local companies or embassies), or utilize online forums outside of the Peace Corps website for fundraising. The only authorized mechanism through which a Volunteer can receive funds to implement a project is through the Peace Corps Small Grants Program. Within this program, there are several funding sources available. However, not all of these sources are available for all posts, as some sources are geographically or programmatically limited. Confirm with the small grants coordinator which sources are available at post. The funding sources are briefly described here: Grant Program Funding Source Program Details Small Project Assistance (SPA) Program

United States Agency for International Development (USAID)

• Available if a post has negotiated funds with USAID; there are 50 posts worldwide that provide SPA funds to Volunteers.

• All projects must fit within certain program areas defined by USAID.

• Ask the small grants coordinator at post for information on the current availability of funds; funds turn over each year and vary per year.

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Grant Program Funding Source Program Details Peace Corps Partnership Program (PCPP)

Private sector donations (both individuals and organizations)

• All Volunteers are eligible to apply. • Projects may apply to any sector. • Projects that require online fundraising will be put

onto the Peace Corps website for fundraising. • All donations are tax deductible.

Volunteer Activities Support and Training (VAST)

President’s Emergency Plan for AIDS Relief (PEPFAR)

• Supports HIV/AIDS-related projects or life skills activities that promote the reduction of risk and improve access to services, medications, or healthcare to reduce risk of HIV.

• Available in select Peace Corps countries. • Available at any post that receives PEPFAR funds

(contact the small grants coordinator to learn if your post receives PEPFAR funding).

Energy and Climate Partnership of the Americas (ECPA)

Department of State, Bureau of Western Hemisphere Affairs

• Supports environment-related projects. • Available at posts in Central and South America Peace

Corps countries (contact the small grants coordinator to learn if your post receives ECPA funding).

• Funding is provided by the U.S. Department of State. Feed the Future (FTF)

USAID • Supports food security-related projects. • Available in posts participating in Feed the Future

Partnership (contact the small grants coordinator to learn if your post is participating in the partnership).

• Funding provided by the Global Food Security Agreement.

While each program differs slightly, they all work to support the Peace Corps approach to development and the work that Peace Corps Volunteers are doing in the field. In order to ensure quality project development and maintain thorough and complete reporting of projects, this handbook provides guidance for the Small Grants Program and required materials. Through the Small Grants Program and the materials outlined here, the Peace Corps intends to assist Volunteers, communities, and posts to create strong and lasting community-initiated projects.

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Roles and Responsibilities Numerous stakeholders work together to support the Small Grants Program, including Peace Corps post and headquarters staff, Volunteers, counterparts, small grant committees, and Peace Corps partners. This section describes the primary responsibilities of the many offices and staff involved with managing small grants.

I. Volunteers and Counterparts Volunteers support counterparts and community members to identify and support development projects that meet locally identified priorities. Throughout the small grants project development process, Volunteers will do the following:

• Collaborate with community members to identify and develop a project that meets local priorities;

• Assist counterparts to complete and submit a small grant application to the small grants coordinator and small grants committee for review and approval;

• Maintain accurate financial records and receipts; • Regularly report status updates to the small grants coordinator and small grants

committee; • Submit final reports with legible receipts to the small grants coordinator; and • If necessary, submit a transfer of responsibility form for another Volunteer to assume the

project.

II. Peace Corps Posts Country directors assign specific small grants support and administration responsibilities to staff members to ensure that all necessary responsibilities are covered.

A. Country Director Country directors (CDs) provide oversight, direction, and accountability for the in-country administration of all small grants programs. In addition, CDs maintain relationships with in-country partners that provide funding for small grant programs. Following review and recommendation by the small grants committee, the CD must give final approval for each approved grant. If a project is to be canceled, transferred, or receive additional funds, the country director must certify and sign off on this project change. Where required, the CD has the authority to issue or deny a waiver for certain costs. When a project’s final report is submitted, the CD will sign the document if the report meets Peace Corps guidelines.

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B. Director of Programming and Training Directors of programming and training (DPT) typically have direct oversight of small grants committees and serve as programmatic chairs of the committees. DPTs work with post staff to ensure small grant programs complement the post’s programming priorities and are adapted to meet the local development context. DPTs work with staff to provide training to Volunteers, counterparts, and other staff on accessing small grant funding, appropriate use of small grant funds, and designing and managing small grant projects.

C. Small Grant Coordinator Small grant coordinators are responsible for the day-to-day administration of grant projects at post. The small grant coordinator serves as the primary Small Grants Program contact at post for Volunteers, other post staff, and Peace Corps/headquarters grant program support staff. The coordinator is responsible for understanding program requirements and guidance and for ensuring that the post’s policies, procedures, and approved grants are consistent with such guidance. Volunteers should submit their completed applications to the small grants coordinator, after which the coordinator will review the project and provide feedback. The small grants coordinator can provide project status at all points in the approval and closure process and will provide project assistance when questions arise.

D. Associate Peace Corps Director, Program Manager, and Programming and Training Assistants/Specialists

Associate Peace Corps directors (APCD), program managers (PM), and programming and training assistants/specialists (PTA/PTS) support Volunteers in their projects or programs to promote effective use of small grant funds. The primary role for programming staff in the small grants process is support for project design as well as project review. They support Volunteers in drafting applications and give advice on how to better design projects. Staff can also help Volunteers consider all options, including local resource mobilization.

E. Director of Management and Operations and Financial Assistant Director of management and operations (DMO) and financial assistants (FA) are responsible for the financial administration of grant funds. DMOs, with support from FAs, certify that project funds have been spent in accordance with the goals and objectives of each project. They do this by reviewing all receipts, which a Volunteer must present in order to close a small grant project.

III. Small Grant Committees Each post has a small grants committee. These committees review and approve applications for grants, including SPA, PCPP, VAST, and other programs. Each post determines how its committee will be structured, the approval process the committee will follow, and the specific functions and responsibilities of the committee.

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The small grants committee fulfills three key functions:

• Establishes post-specific grant criteria/requirements and processes consistent with the “Peace Corps Small Grants Program Staff Handbook,” (e.g., application submission and review procedures, submission deadlines, etc.);

• Reviews and approves grant applications; and • Monitors and evaluates small grants and the grant process and considers results,

feedback, and data to improve the post’s grant program.

IV. Peace Corps/headquarters

A. The Office of Gifts and Grants Management The Office of Gifts and Grants Management (GGM) administers the Peace Corps Partnership Program (PCPP) in addition to managing and accepting general donations to the Peace Corps, both monetary and in-kind. GGM is responsible for accepting donations and applying them to PCPP projects; verifying compliance with small grants requirements for PCPP projects; publicizing projects for fundraising; obligating funds for fully funded projects; reviewing project documentation; interpreting small grants requirements as they relate to the PCPP program; and maintaining project records. GGM is the only office authorized to solicit for funds on behalf of Volunteers: Volunteers are not authorized to solicit for or directly receive funds from outside funding sources on their own. However, Volunteers are welcome to raise awareness about their projects by directing donors to the Peace Corps website where their projects are hosted.

B. The Office of Intergovernmental Affairs and Global Partnerships The Office of Intergovernmental Affairs and Global Partnerships (IGAP) administers the Small Project Assistance (SPA) program. In addition, IGAP also provides assistance for project managers of Peace Corps small grant programs that are funded by other U.S. government agencies, including grant programs under the Energy and Climate Partnership of the Americas (ECPA) and the Feed the Future (FTF).

C. The Office of Global Health and HIV The Office of Global Health and HIV (OGHH) administers the VAST program. This includes responsibility for managing the agency’s overall PEPFAR agreement and portfolio; verifying compliance with small grants requirements for VAST projects; reviewing project documentation; interpreting small grants requirement related to the VAST program; and maintaining project records.

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V. Peace Corps Partners and Donors Peace Corps partners and donors contribute funds for posts to issue as small grants. (The Peace Corps does not use its own appropriated funds for small grants.) Even though these funds come from outside sources, once they are received by the Peace Corps they become official Peace Corps funds and must be handled as such. The Peace Corps is accountable for the use of funds from contributing partners and donors and may be required to provide reports.

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Pre-Grant Planning

I. The Role of Outside Resources1 A cornerstone of the Peace Corps approach to development is the belief that success is achieved by helping people develop the capacity to use their own skills and resources to improve their lives. Identifying assets and resources from within the community and building on such assets to increase self-reliance and sustainable development are critical elements of the Peace Corps philosophy. Volunteers also help their communities network with other regional, national, and international organizations to identify support for local priorities. This facilitating role can link host country partners to organizations that provide external advice, technical assistance, and even financial resources to help meet community goals. At the same time, programs that connect Volunteer activities to U.S. communities or to Volunteers in other countries contribute to the Third Goal of the Peace Corps: to promote a better understanding of other peoples on the part of Americans. While sustainable development efforts depend first and foremost on local commitment, resources, and skills, outside resources may help expand a community’s own asset base and strengthen an activity’s positive impact. However, the following questions should be considered before exploring external resources for a community project. • Does the community want the outside assistance?

Volunteers should talk to different groups within their community (men, women, youth, community leaders, minority groups) about the project idea and collect any background information they can. They should learn what has been tried in the past, even if these approaches have not entirely met the community’s stated desire or need. Perhaps insufficient funding was an issue or the community may not have possessed all the necessary skills to carry out the project. Volunteers may also find that the project is not a priority for the community.

• Have all local resources been tapped? Perhaps, with the Volunteer’s assistance, the community could identify local funding sources, secure technical advice locally, or obtain donated materials in-country. Maybe a community-sponsored fundraising activity could provide the needed money. Have all options for alternative or less-costly materials been investigated? If a community can learn how to identify alternatives or raise funds itself, not only is the local economy supported, but self-reliance is strengthened.

• Will an outside grant promote dependency? Does the community have a history of using outside assistance? If a Volunteer can help the community build on its own strengths and assets as it gains the necessary skills to establish

1 Section I. “The Role of Outside Resources” is primarily taken from the 2011 Peace Corps Volunteer Handbook.

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its own ties with technical or funding organizations, the Volunteer will help that community become more self-reliant. Reducing a community’s dependence on external funding is key to the long-term sustainability of Peace Corps development efforts.

• Will Volunteers’ effectiveness be compromised if they are identified with outside material

and financial resources? Volunteers will help reduce dependency and build greater local capacity in their communities if they keep their role as facilitator in perspective. Volunteers should carefully weigh the value of any grant or gift they help obtain against the expectations it may create within the community. Consider the impact that Volunteers may have on the role of future Volunteers and development workers in that area if they have helped identify and secure funds for their community.

If after considering these questions Volunteers still identify an opportunity to enhance local capacity with outside support, then Peace Corps small grants are an excellent source for funding community-initiated projects.

II. Small Grant Funding in the Context of the Peace Corps Approach to Development

The Peace Corps general approach to development is described in the Programming and Training Guidance2. Development in its broadest sense is any process that promotes the dignity of a people and their capacity to improve their own lives. Two key characteristics of the Peace Corps approach to development are capacity building and sustainability.

• Capacity Building: The Peace Corps uses the word “development” in human, people-to-people terms: helping people develop the capacity to improve their own lives. The focus of the work is on the development of the capacity of people, not things. Peace Corps Volunteers help people learn to identify and prioritize what they would like to change, and to use their own strengths and learn new skills to achieve that change. For example, with this approach, development is not simply planting a garden to produce food for the community, but organizing and working with people to establish and maintain their own gardens. Volunteers direct their capacity-building efforts to several integrated levels: individuals, service providers/trainers/multipliers, organizations, and communities.

• Sustainability: Sustainability refers to the ability of a project to continue to meet the needs of a community once the initial grant or external source of funding has ended. Volunteers use gender-sensitive, participatory approaches to analyze, design, implement, and evaluate projects. These approaches increase the likelihood of a sustainable project. In addition, Volunteers work to facilitate systems improvements and organizational changes that not only increase the potential for sustainability, but

2 Peace Corps Programming and Training Guidance, Publication No. T0140 (Version: October 2011)

http://inside.peacecorps.gov/index.cfm?viewDocument&document_id=38054&filetype=pdf

http://inside.peacecorps.gov/index.cfm?viewDocument&document_id=38054&filetype=pdf

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often improve the amount or quality of service provided, or the volume of business conducted.

Small grant projects should be designed and implemented consistent with the Peace Corps approach to development. Thus, even though the projects bring external funds into the community, they should include a significant capacity-building component and should be designed to maximize sustainability.

III. Community Ownership Many U.S. government initiatives have committed to the principles of country ownership in support of a true partnership with host countries. This holds true for the Peace Corps grants process. A fully engaged host country partner is a crucial element to any successful project and signifies the first step in promoting community ownership of the activity. Strong applications will be submitted jointly with a host country national partner and will outline the partner’s willingness to participate in project planning, implementation, and the partner’s commitment to taking ownership of the project for a sustained period of time. Some examples to assist with this process are listed below:

• Clearly outline how host country partners contributed to project development. • Indicate community buy-in and how it was obtained. • Host country partners should play a crucial role in leading or co-leading program

implementation and training. • If materials will be developed as a result of the project, clearly outline how the

community will contribute to the development of the materials. • Outline a plan for project sustainability after Volunteers have completed their service

and will no longer be involved in activities. For example, indicate a strategy for continuing the project without Peace Corps involvement or guidance.

IV. Other Considerations

• Consider how the project might incorporate elements of Cross-Sector Programming Priorities (CSPPs) identified by the Peace Corps. CSPPs are cross-sector areas of development and include Gender Equality and Women’s Empowerment, potential environmental impact, HIV/AIDS, Technology for Development, and host country Volunteering and Volunteer Programs (V2).

• Specific to the Gender Equality and Women’s Empowerment CSPP, consider if the activity has incorporated gender-sensitive approaches that take into account gender roles, gender-based violence (GBV) stereotypes, and ways to foster gender-sensitive community-development activities.

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• Any project that addresses a health concern in a community should include a brief description of the health epidemic (HIV, malaria, etc.) in-country and how it impacts the target community.

• If it is a health project, activities could include a component that provides information on prevention, care, and referral services.

• Consider the environmental impacts of the project.

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Grant Requirements All Peace Corps small grants must satisfy the same basic requirements. Peace Corps staff uses these requirements to ensure that projects meet community needs as well as follow Peace Corps guidelines. In addition, this section pinpoints costs that are unallowable and cannot be included in a project budget and those which may only be included with a waiver signed by the country director. Volunteers must check with their individual posts for post-level small grants guidance. PC/headquarters will defer to post-level guidance in cases where posts have implemented more stringent policies3.

I. Basic Grant Requirements Peace Corps small grant funds can be used in various ways to support community-led development initiatives in a wide variety of programmatic areas, including agriculture, the environment, small enterprise development, education, water and sanitation, and health. Cross-Sector Programming Priorities (CSPP) of gender equity and women’s empowerment, youth development, girl’s education, the prevention of HIV/AIDS, people with disabilities, non-governmental organization (NGO) development, municipal development, food security, volunteerism, and the integration of information and communication technology (ICT) can also be addressed. Regardless of the funding source chosen by the Volunteer (SPA, VAST, PCPP, ECPA, or FTF), all projects supported with Peace Corps small grant funds must:

• support a stand-alone project, with definite start and end dates and concrete goals and objectives;

• be scheduled for completion within one year and end at least three months before the Volunteer’s close of service (COS) date;

• not exceed U.S. $10,000 in funding; • include at least a 25-percent community contribution of the total project cost; and • be submitted in English

In addition to these requirements, posts may also choose to develop country-specific guidelines to better reflect local community development issues and priorities. For example, a post may have established its own requirements regarding maximum grant size, minimum community contribution, or whether projects can be developed outside of a Volunteer’s primary assignment or sector. For more information on these potential guidelines, the Volunteer should contact the small grants coordinator.

3 For example, if posts determine that projects should be less than $10,000, PC/headquarters will defer to this post-level policy.

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Each small grant project must also satisfy the following criteria:

A. Community Initiated The project is community initiated and directed. Projects should be designed to serve the needs of the immediate community of the Volunteer. This ensures that the community is the driving force behind the project and will take ownership once the Volunteer’s portion complete. All small grants projects should be initiated, designed, and implemented by a local community organization or group, with the support of a Peace Corps Volunteer. The first action a Volunteer should take before developing a project is to complete a community needs assessment to ensure appropriate project selection and community buy-in. Volunteers should conduct this needs assessment using the skills they have acquired from the Participatory Analysis for Community Action (PACA) manual, which is provided by Peace Corps Information, Collection and Exchange (ICE) a unit of the Office of Overseas Programming and Training Support (OPATS). Once a project area has been identified, the following questions should be considered during project development and included on the application:

• Who first proposed this project? • What are the roles and responsibilities of community members? • How involved are the beneficiaries in project planning? • How will the community oversee the project? • If the project was proposed or is supported by a non-local4, is it clear community

members really want or need it, intend to participate, and would not rather use their resources in some other way?

B. Meet a Community Need The project meets a pressing community need. This guideline helps to establish the merit of the particular project among a host of other expressed needs. The following questions should be answered:

• What indicates this project will meet a need community members consider important?

• What are the benefits—both immediate and long term? Are these measurable, either quantitatively or qualitatively?

• Why is this project a priority?

C. Demonstrate Sustainability The project inherently promotes sustainable community development changes. “Sustainability” refers to the ability of a project to continue to meet the needs of a community once the initial grant or external source of funding has ended. In order to build mechanisms into the planning process that promote this type of long-term success, Volunteers and their community partners should consider these questions:

4 A non-local is anyone that is not directly connected to the community, such as staff from an international organization or a donor looking to fund a particular type of project.

http://files.peacecorps.gov/donate/PACA_Manual.pdf

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• Can the project operate self-sufficiently or be revenue-generating? • What external or internal activities will you conduct to sustain the project after

outside funds disappear? • How long is this project anticipated to be in use or have an effect? • Is there clear community participation and oversight over the project? • How will the buildings, parts, or machinery be repaired or replaced? • Does the community have the resources (human, financial, or material) to sustain

the project long-term? • Could the community replicate or teach the implementation of this project in the

future?

D. Demonstrate Capacity Building A capacity-building element is included in the project. “Capacity building” refers to strengthening the skills, competencies, and abilities of people in the local community so they can overcome the obstacles that inhibit them from realizing their developmental goals. Capacity building is an important part of any project, as it helps to ensure continued development long after outside funding has been exhausted. Because development activities often address specific tangible needs, it is common for Volunteers to develop projects for municipal development-based projects such as school or latrine construction, building renovations, small business expansions, etc. These types of projects—though providing valuable assets for the community—must still demonstrate an active capacity-building aspect. While the actual process of developing a small grant project in itself has value for the community, the project should contain aspects which achieve one or both of the following:

• The project builds the capacity of people: There is an inherent skill-building type of education that takes place during the project. This could be informal (i.e., in constructing latrines, community members gain new knowledge that will allow them to replicate that activity in the future) or formal (i.e., the project trains community members on good hygiene practices in addition to building latrines).

• The project builds the material capacity of the community: The outcome of the project will increase self-sufficiency in development activities and/or enable community members to carry out activities that build the capacity of people. For example, a community might build a new room for the local school, which will enable them to better educate their children; or a project might purchase a loom for a women’s cooperative to help them get a weaving project off the ground.

E. Incorporate Monitoring and Evaluation Monitoring and evaluation is built into the project plan. A monitoring and evaluation (M&E) plan should be incorporated from the beginning of project development. The Peace Corps contribution to the development community can be demonstrated through results captured. Volunteers should incorporate good monitoring and evaluation

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methodologies to measure project outcomes and success. Projects should do the following:

• Include an M&E component that has specific indicators for how learning or changes in behavior will be measured.

• Address how learning will be enhanced or how access to the information might promote behavior change among individuals who receive the training or service provided.

• Demonstrate how the project will be beneficial to recipients and the community at large.

• Not include project goals that only state Volunteer outputs.

F. Include Indicators of Success Indicators of success are outlined. Indicators should be linked to the project’s monitoring and evaluation plan. Indicators of success are quantifiable measurements, agreed to beforehand, that demonstrate desired changes are taking place. They measure both tangible (e.g., the number of people participating) and intangible outcomes (e.g., an increase in self-esteem among the participants). Indicators include, but are not limited to the following:

• Participants acquiring new skills that improve their quality of life (e.g., literacy, new English or math skills or new agricultural techniques).

• Improved capacity of participants to define and meet goals and objectives in the future (e.g., ability to set up a working group to address a problem or enhanced planning skills).

• Presence of linkages with similar groups or networks (e.g., learning how to connect with other organizations and people).

• Improved decision making (e.g., changes in attitudes such as gender inclusiveness or willingness to share ideas).

G. Community Contribution To verify community ownership and initiation, as well as to enhance the long-term sustainability of the project, a 25-percent minimum community contribution of the total project cost is required. This contribution often includes, but is not limited to, the costs of manual labor and transportation associated with the project. Host community contributions might also include direct financial contributions of cash or raw materials (though if the community contribution is cash, it must be clear what will be paid for). Contributions from local or other in-country sources, such as indigenous organizations or government ministries, can also be factored into the community contribution. However, a contribution from an international organization cannot be considered as part of the community contribution (e.g., contributions from USAID, United Nations organizations, foreign embassies, or international NGOs such as CARE, Save the Children, or the International Red Cross).

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Volunteers may help their communities quantify how much time, labor, transportation, property, and financial or material support the community will provide (See Appendix 1). Most often, communities contribute well above the minimum 25-percent requirement. During project implementation, these contributions should be documented, invoiced, and submitted with the completion report.

II. Unallowable Costs All costs funded with Peace Corps small grant funds should be reasonable, necessary, and justified in light of the project activities and objectives. In addition, the following limitations must be observed for all grants5:

• Land and other capital assets Grant funds cannot be used to purchase land. If grant funds are approved to construct or equip a building, prior to approving the project, the small grants committee must ensure the community has clear title to the land on which the building will be located, has a signed, long-term lease, or has an officially approved agreement providing long-term access to the land. If the land is under a long-term lease, the community organization must demonstrate that it will be able to cover any monthly rent required by the landowner.

• Loan funds

Grant funds cannot be used as loan collateral or to supplement a community organization’s revolving credit or loan fund. However, if the community generates income as a result of grant project activities, it may elect to use this income to establish a credit or loan fund in order to continue or expand project activities.

• “Sub-grant” projects

Recipients of Peace Corps small grant funds may not award project funds to other persons or groups in their community in the form of a secondary small grant/cash prizes/loan. If grant project participants would like to use skills and/or knowledge gained as a result of project activities to design a follow-up project, they should apply for the funding for the second project through the normal Peace Corps small grants approval procedures.

• Contingency funds/multiple funding sources

Grant budgets should not include funds for undefined or unexpected “contingencies” or similar cost categories (e.g., “unexpected costs”). This includes, but is not limited to, applying for funding from multiple grants sources.

5 These costs are allowable if they are part of the community contribution and do not require country director’s approval (waiver).

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• Alcoholic beverages Grant funds may not be used to purchase alcoholic beverages.

• Recurring costs

Grant funds cannot be used to cover regularly recurring monthly expenses (e.g., rent, telephone service and utilities, Internet service) beyond an initial start-up period of three months. Calculations of in-kind contributions should not include recurring costs beyond three months. If start-up costs will be covered by the grant, there must be a clear sustainability plan demonstrating how the community will pay for the costs beyond the start-up period.

III. Costs that Require a Country Director’s Approval (Waiver) Country directors have authority to approve a waiver for certain costs that are not normally approved. The Volunteer must submit a waiver request along with the project application to the small grants committee. This request must include written justification for each unallowable cost. The justification should describe how the costs will contribute to the overall success and capacity building of the project. The small grants committee will review the justification and forward its recommendation to the country director for his/her final decision. Should costs be incurred without a signed waiver, the Volunteer will be held responsible. Most projects should not be designed in such a way that requires any unallowable costs, as waivers are to be considered only when absolutely necessary. A template of the waiver can be found in Appendix 2. Project costs that require a waiver:

• Giveaways, prizes, and celebrations Generally, grant funds cannot be used to purchase giveaways6, prizes, celebrations, or other similar items or activities. However, if the use of grant funds to purchase these items will support the realization of project goals and objectives and the small grants committee supports this use of funds, volunteers may request a waiver of this limitation from the country director.

• Motor vehicles and other conveyances

Grant funds cannot be used to purchase motor vehicles and other transportation conveyances that are intended primarily for personal use. In limited circumstances, funds may cover the costs of these items if the project clearly demonstrates that the goods are integral to the objectives of a project, intended for shared use, and benefit more than a single individual or business.

6 In most cases, t-shirts are considered giveaways; however, if t-shirts are given to participants as a uniform or a means of raising awareness, they may be included in the grant budget. If there is any question surrounding the cost, Volunteers should fill out a waiver.

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• Volunteer costs Generally, grant funds may not cover costs to support or benefit Peace Corps Volunteers. Grant funds may not pay for per diem for Volunteers. The country director may issue a waiver for funds to cover modest travel, lodging, and food costs related to a project if the Volunteer is traveling with host country counterparts and such costs are necessary for the success of the project.

• International travel

Allowing international travel to be included in a project must be considered very carefully. In most cases, the Peace Corps will not approve international travel waivers due to potential logistic and liability issues. Peace Corps staff considers the following issues when deciding whether to approve a waiver for this cost:

- Where is the training component? Take into consideration the distance necessary to travel. If the training is simply across a border, and participants may easily drive to the training, a waiver could make sense. However, if airfare or several hours of travel is included, a waiver will not be considered.

- Will the attendees learn something new and transfer skills to others when they return?

- Does the project meet the small grants requirement to be sustainable and to build local self-reliance?

- Is this project making the best use of small grants funds? Could the participants/conference attendees and their organization get the same benefit from attending a conference or training in-country?

- What are the potential logistical problems, i.e., if a person misses their plane and has to pay extra money to get home, how will this be paid for?

- Who is responsible or liable for the person and/or their actions while traveling? If Peace Corps is funding the travel, is the agency liable for anything that goes wrong when the attendees are in the States or another country?

IV. Projects that Require Special Consideration

A. Scholarship Programs (PCPP and SPA Only) Scholarship programs can be effective tools to encourage education and increase retention in schools. When creating a scholarship program, it is important to plan strategically for the long-term administration and sustainability of the program. This process involves significant planning and the inclusion of host country nationals and local organizations. The following key points must be addressed in order for a scholarship project to be approved for funding:

- A small grants application must be submitted. Applications must be submitted consistent with small grants program guidelines outlined in this handbook. The application should spell out very specifically the process by which host country nationals will identify, evaluate, and select recipients and it should show a plan for sustainability.

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- The program should become self-sustaining. The program’s survival—financial and administrative—should not be dependent on Volunteers or small grants funding.

- Help organize a selection committee. Creating a committee that will plan how the scholarship program will operate is one of the most important steps. The ultimate goal for the Volunteer should be to assist the community in developing a selection committee and process made up entirely of host country participants. Volunteers should not be part of the selection process.

- Selection process. Volunteers must not be in a position where they may be perceived as handing out money or be involved in the selection or evaluation of students as recipients of money. The project must demonstrate that only host country nationals should be in charge of the process of nomination, selection, and administration of any funds used for this purpose.

- Host country nationals. Host country representatives from all levels—from the recipients’ families to the local or national governments—should be involved.

- No scholarship project may last longer than a school year. No scholarship project may last longer than the current school year. If the community would like to have scholarships again the following year, a new small grants application must be submitted.

- Expectations and evaluations. Set realistic expectations and evaluate how well these expectations have been met during the first year. In subsequent years, the scholarship program committee should meet annually to evaluate the previous year and make any changes to the next year’s strategy.

- Completion reports must be sent in as well as any extra money. Scholarship reporting requirements are the same as small grants requirements (i.e., completion report, receipts with financial accounting summary). At the end of each year/project, as with all small grants projects, any unused funds should be returned to the appropriate small grant funding source.

B. Training and Skills Building Camps Volunteers may provide training and skills building in a camp-like setting and, under certain conditions, camps may qualify for small grant support. Appropriate roles for Volunteers include developing technical content and curricula, creating a learning environment, providing training to prepare camp counselors to lead camp sessions, supporting community-led fundraising efforts, and assistance with planning and logistics. Camps supported by small grants should not focus solely on sports or recreational activities. Small grant projects for camp-related activities should include the following:

- Clear project description with goals and objectives; - Community buy-in, including community and counterpart contributions to cover

up to 25 percent of the project cost;

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- Funds requested for infrastructure, equipment, and materials should support the training to be provided, and not be included as the principal justification for grant support;

- Grant funds cannot be used to purchase giveaways, commemorative mugs, or prizes; when these items are considered essential to the success of a training project, funds to purchase them should contributed by the community or a third-party organization;

- Monitoring and reporting indicators that will measure project outcomes; - Follow-up plans for sharing the learning of campers with peers and the

community at large and applying the skills learned during the camp experience in the community throughout the year;

- Activities should generally take place within the community and not require travel on the part of the Volunteer or camp participants;

- Camps must be safe and should make parents/guardians aware of activities involved;

- Staffing of the camp should be well planned, as enough staff must be present to manage all participants;

- As with any small grant, a community or organization should assume responsibility for designing the camp, submitting the application, managing the funds, running the camp, and completing reporting requirements, assisted by the Volunteer.

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Application Process The application process for all small grant projects must begin well before the application is submitted to allow sufficient time to discuss with community connections and to engage the community in the process. By determining the community’s vision, small grant programs allow Volunteers and their communities to achieve their goals. The following section outlines the process for Volunteers and communities when designing small-scale development projects and applying for Peace Corps small grant funding.

I. Funding Availability Each program utilizes different funding sources for Volunteer community projects. For example, due to the nature of the PCPP program which fundraises for projects, the program operates on a rolling funding basis without set funding amounts or limits each fiscal year. However, other Peace Corps small grant programs are supported by U.S. government agencies and posts receive set amounts of money each year for the grant programs that may be available at post (SPA, VAST, ECPA, FTF, etc.). These programs are further limited in that funding may only support grants in particular program areas. Therefore, Volunteers thinking about doing a project should keep in touch with their small grants coordinator or programming staff regarding when funds will be available and what projects they can support.

II. When a Volunteer Can Apply Volunteers may apply for funding for a small grant project after a minimum of three months at site, and preferably after having received Project Design and Management (PDM) training.

• Volunteers should only begin working with their communities to design and submit an application after discussing proposed projects with their APCD or other appropriate programming staff.

• In order to allow sufficient time for completion of a project prior to a Volunteer’s COS date, Volunteers may not submit projects during the last three months of their service unless the country director approves a written justification explaining how the project will be implemented and completed before the Volunteer’s COS date.

• A Volunteer may only administer one grant per funding source at a time and must close out any previous grants prior to applying for a second. If a Volunteer is interested in implementing two separate projects at one time (for example, one funded by PCPP and one funded by SPA) s/he should first receive permission from post. Additionally, Volunteers cannot utilize two different funding sources to contribute to the same project (i.e., SPA and PCPP funds may not be applied to the same project).

http://files.peacecorps.gov/donate/PDM_Manual.pdf

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Each post will have a review calendar for evaluation of grant applications for all funding sources. The small grant committee will meet to review applications at least quarterly, or more frequently (e.g., monthly) if the volume of applications necessitates it.

III. Community Involvement Volunteers must work with the community organization or community partners throughout the entire application process. As Peace Corps small grants support community development projects, they should be initiated and driven by the Volunteer’s community, rather than solely by the Volunteer. As the PDM manual states, “Community projects are most successful when they result from locally perceived desires or needs and where community members take part in the planning, implementation, and evaluation. This development process builds the community’s capacity to better its own situation, strengthen its resources, and work toward solving problems more independently in the future” (Page 25). Thus, it is important for post staff to ensure that each project indicates community engagement and involvement, that there is a clear and specific need for the project, and that it will be sustainable upon the Volunteer’s departure. Ways to ensure community involvement:

• Local language summary or document • Counterparts come to post for project advocacy • Counterparts attend PDM workshops with Volunteers • Post staff visit project/community sites • PACA Mapping • Community Assessment Tools

To verify community ownership and initiation, and as mentioned in the Grant Requirement section I, G, a 25-percent minimum community contribution of the total project cost is required for each small grant project. Volunteers may help their communities quantify how much time, labor, transportation, and financial or material support the community will provide. Most often, communities contribute much more than 25 percent in material, financial, or physical contributions.

IV. Required Materials and Project Development The Peace Corps Small Grant Application is designed to guide all Volunteers, regardless of funding source, through a series of sections that ask Volunteers and their communities to think through all aspects of projects, including timeline, budget, and how projects will be monitored and evaluated. If a post decides to request additional information (a local language summary, for example), it may do so. The application must be filled out for all grant programs. Volunteers and community counterparts should read through the entirety of the application before completing any

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information. Volunteers must complete each section of the application and follow all directions in each section. They should be aware which funding source they are applying for prior to completing the application, and should make sure to fill out the program-specific section at the end of the application. Volunteers and their community counterparts will create goals and objectives for their projects. This includes creating indicators to measure outcomes that will be reported on in the completion report at the end of the project. All Peace Corps small grants include a standard set of indicators that are applicable across all project types. As all projects are required to incorporate a capacity-building element, these standard indicators will measure if the project was able to build community capacity. Further, these indicators measure if the newly learned skills or technologies have been adopted by project participants. To this end, all small grants projects will measure against these indicators: Capacity Development 1. Number of individuals7 who have increased capacity due to this small grant (unit of measure:

individual) 2. Number of service providers8 who have increased capacity due to this small grant (unit of

measure: service provider) 3. Number of community organizations and/or associations9 that have increased capacity due

to this small grant (unit of measure: community organizations and associations) New Technology and Practices 1. Number of individuals who have applied new technologies and/or practices as a result of this

grant (unit of measure: individual) 2. Number of new technologies and/or practices that have been adopted as a result of this

small grant (unit of measure: technologies and practices) Volunteers may find it useful to create a logical framework to plan their project and set up an evaluation plan. In addition to Peace Corps resources available, the Centers for Disease Control and Prevention offers a series of evaluation tools used to help clarify approaches to and methods of evaluation and recommends resources for additional reading. Below are links to the CDC guides that may be helpful for Volunteers and their community:

7 Individuals are participants that attend a training and are expected to implement the knowledge gained for themselves. 8 Service providers are participants that receive a training and are expected to train additional populations following the training—a training of trainers. 9 Community organizations and/or associations with participants who engage in a training to improve an organization as a whole, e.g., an organization learning to create an organization structure, strategic plan, or fundraising strategy.

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• Guides Home • Writing SMART Objectives • Developing and Using a Logic Model • Developing an Evaluation Plan • Fundamentals of Evaluating Partnerships • Using Indicators for Program Planning and Evaluation

Volunteers will also be required to provide indicator information for their selected funding source. Post staff should assist Volunteers in understanding which indicators apply to their projects. These indicators are essential to monitoring and evaluating projects and programs, and will be submitted to the appropriate Peace Corps office for reporting purposes. The application has formal signature forms at the end of the document. All forms must be completed and signed by all parties. Volunteers should review all applications to ensure accuracy. Should a post require further information or documentation than requested in the application, Volunteers should be prepared to complete all materials in addition to all Peace Corps/headquarters required materials.

http://www.cdc.gov/dhdsp/programs/nhdsp_program/evaluation_guides/index.htm

http://www.cdc.gov/dhdsp/programs/nhdsp_program/evaluation_guides/smart_objectives.htm

http://www.cdc.gov/dhdsp/programs/nhdsp_program/evaluation_guides/logic_model.htm

http://www.cdc.gov/dhdsp/programs/nhdsp_program/evaluation_guides/evaluation_plan.htm

http://www.cdc.gov/dhdsp/programs/nhdsp_program/evaluation_guides/evaluating_partnerships.htm

http://www.cdc.gov/dhdsp/programs/nhdsp_program/evaluation_guides/indicators.htm

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V. Reporting and Indicators The application also includes a section specific to the funding source to which the Volunteer will be applying. The section requests information on indicators identified by the donor (for SPA, VAST, ECPA, and FTF in particular), or for referral contact information in the case of PCPP. The section below summarizes the reporting requirements specific to each program:

•Peace Corps Partnership Program will solicit friends and families on behalf of the Volunteer as Manual Section 720 prohibits Volunteers from directly soliciting for funds. In the referral section of the application, Volunteers should provide contact information of friends, familiy, and/or organizations for Peace Corps/headquarters to solicit these individuals or organizations. Volunteers are free to share the project webpage when it has been posted to the Peace Corps website to assist in fundraising. •Project indicators should be outlined and maintained in the monitoring and evaluation section of the application. PCPP and the Volunteer should review the goals and objectives sections when monitoring and evaluating the outcomes of the project.

PCPP

•For all posts, the application and completion report include a set of standard indicators that Peace Corps/headquarters and USAID select from USAID's Foreign Assistance Framework. Posts may also work with the USAID mission in their country to identify “custom” indicators specific to their country. •Additionally, for SPA projects only, an environmental checklist is required to accompany the indicators.

SPA

•For all posts, the application and completion report include a set of standard indicators for VAST that have been established by Peace Corps and the PEPFAR initiative. •These indicators are the same as those used by posts for reporting all HIV/AIDS work in the Agency Initiatives Report.

VAST

•The ECPA program is established through an agreement with USAID and operates in the same manner as SPA. •Select posts that have ECPA should work with the USAID mission to identify "custom" indicators specific to their country.

ECPA

•FTF indicators are determined by the FTFcoordinator along with the USAID mission in-country. Volunteers should report on all indicators relevant to their projects.

FTF

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VI. Grant Committee Review Once an application has been completed by the Volunteer and community partner and it meets the requirements and guidelines for Peace Corps Small Grants, it is submitted for review. First, the small grants coordinator should review each application to ensure that all sections have been completed and meet the minimum requirements for approval. Second, the small grants committee will review the application to determine final approval of the project. Posts review and approve small grant projects through a small grants committee. Typically, post-level grant committees have four to six members and are composed of one or more of the following:

• Country director • Small grants coordinator • Director of programming and training • Associate Peace Corps directors or program managers • Director of management and operations • Program assistants and training assistants • Financial assistants • Volunteers (Posts must take into consideration Volunteer safety and security and

potential interference with community work before placing Volunteers on the small grants committee. Volunteer members are typically third-year Volunteers, Volunteer leaders, or Volunteers who have completed a small grants project.)

• For SPA: a USAID mission representative (at the mission’s discretion for SPA projects) • Host country nationals and/or NGO representatives, as appropriate or possible

One member of the committee will be the small grants coordinator. The small grants coordinator is responsible for organizing meetings, collecting and distributing project applications to committee members before review meetings, ensuring all members of the committee review and approve the applications (either in person or via email) ensuring all signatures have been attained, and submitting required reports and documents to Peace Corps/headquarters. Each post’s small grants committee sets the following:

• post-specific project criteria or requirements • submission, review, and approval procedures • a review calendar and application submission deadlines that Volunteers must abide by • post-specific grant materials (e.g., local small grant handbook, small grant funding

announcements, training materials, etc.)

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Small Grants Application The small grants application has been developed as a tool to help Volunteers and their communities plan successful small grant projects. The information included will be used by local Peace Corps staff and transmitted to Peace Corps/headquarters for internal reporting and reporting to donors. Applications must be completed and submitted in English. However, it is imperative that the application be completed side by side with community partners. In many cases, Volunteers will need to verbally explain each section in the local language. Also, some posts may offer local-language versions of the application to ensure community involvement in all aspects of the small grants process. Before completing any section of the application, Volunteers should read through the entire application. This will help in understanding what information will need to be collected and with thinking through all aspects of project planning and development. The completed application should be submitted (preferably electronically) to the small grants coordinator at post for review. In the Excel document, the left-hand menu may be used to navigate through the application or Volunteers can use the hyperlinks provided on the main menu.

I. Main Menu The main menu lists each section of the application. Each of these sections must be completed and checked before submitting to the small grants coordinator at post.

II. Instructions Volunteers should thoroughly read the instruction section of the application and be sure to engage their community and counterparts at the early stage of reviewing the document. The instructions also provide a detailed guide to the logistics for filling out the application. Volunteers should play close attention to these directions as they outline the specific cells Volunteers and their communities must fill in. Some cells auto-fill, so Volunteers should refer to the instructions page if they have inquiries regarding document completion. Volunteers should pay attention to cells that contain comments (indicated by a red triangle at the upper right-hand corner of a cell). These comments provide additional information or examples and can be found throughout the application.

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III. Project Classification The Project Classification section of the application collects general information about the small grants project. This information will be used to classify and track each project. Below are some tips for filling out this page:

• Only one project funding source may be selected. Although PCPP is available at all posts and for all types of projects, SPA, VAST, ECPA, and FTF are only available in certain countries and support specific project types. Volunteers should check with the small grants coordinator at post to find out which grant program(s) are available in their country of service.

• Many projects are undertaken by more than one Volunteer, however a “primary”

Volunteer must be selected for each project. This Volunteer will receive the grant funds and be held responsible for documenting expenses, returning any unused funds and submitting completion report. Names of additional Volunteers participating in the project may be listed under the primary Volunteer’s name.

• When classifying the type of project, Volunteers must ensure that they choose only one

primary classification type with an “XX.” Volunteers may select as many secondary classifications as fits the project by using only one “X.”

• To determine the number of “participants” vs. “beneficiaries,” Volunteers should

consider these characteristics: Participants: Those directly involved in the design and implementation of the project, including those who attend trainings or workshops.

- Participants are usually involved in the project during the project planning and/or implementation phases.

- Participants receive a transfer of knowledge, skills, and attitudes as a result of participation in project activities and might go on to teach what they learned during the project to other community members.

Beneficiaries: Those who receive an indirect benefit from the execution of the project, but are not involved in its planning or execution.

- Beneficiaries often profit from the execution of the project after the main period of project implementation has passed.

- Beneficiaries may receive a transfer of knowledge, skills, or abilities from participants who were trained during the main period of project implementation.

For more detailed information and how to avoid double-counting of participants and beneficiaries, see Appendix 3:

• The Project Cost Breakdown (in U.S. dollars) will auto-fill based on the information the

Volunteer provides in the project log section of the completion report.

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• The Volunteer should fill out the Budget Narrative section to explain what types of items

will be purchased in each category. This will give a snapshot of what will be purchased to complete the project and will highlight items that may require a waiver.

IV. Project Description The project description section of the application is the page where Volunteers and their communities will describe the entire project planning process. There are seven sections that must be completed, each with a maximum word count of 250 words: 1) Summary, 2) Background, 3) Community Involvement, 4) Outcome, 5) Implementation, 6) Capacity Building, and 7) Sustainability. Volunteers should use the prompt questions to guide their responses, and are encouraged to be as descriptive as possible. For safety and security reasons, Volunteers should not include personal information or the exact project location (such as town names or proper school names, etc.) in the summary section. If Volunteers are applying for PCPP, this section will be uploaded onto the Peace Corps public website and will be open to the public. As such, Volunteers should consider this section a concise sales pitch explaining the importance of the project to potential donors. Spelling or grammar errors could discourage a donor from giving to the project. Additionally, the entire narrative section may be distributed to donors, donor organizations, internal Peace Corps departments, and outside agencies. Volunteers and counterparts will need to ensure that each section is clearly written and describes the planned project in detail.

V. Goals and Objectives In the previous section, the Volunteer describes the desired outcome(s) of the project. In this section, the Volunteer and community counterpart will determine the specific project goals and objectives. Peace Corps Programming and Training Guidance describes the structure of planning a project from the overall purpose to the project’s goals, down to specific project objectives. All projects should have a clear purpose (described in the narrative section) or intended outcome, and set goals and objectives for how the Volunteer and community plan to achieve the final result.

• Purpose: The project purpose statement describes the main target group and the broad public benefit that will result from the project (long-term outcome or impact). The purpose should reflect the visioning process that has occurred with stakeholders. Purpose statements should be long-term.

• Goal: Project goal statements articulate intermediate or longer-term outcomes that need

to occur to achieve the project’s purpose.

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• Objectives: Project objectives articulate the most significant outcome(s) that will result from Volunteer and partner activities and will contribute to achievement of project goals.

The application allows for three goals per project and four objectives per goal. A small grants project should not have more than three overarching goals. If the project is requesting funds from SPA, VAST, ECPA, or FTF, one of the goals may match the required program indicators (found in the Grant Selection Menu section). Examples of goals and objectives are included in the application. Additionally, as suggested earlier in the Application Process section under Required Materials and Project Development, Volunteers may want to consult additional resources to create effective goals and objectives.

VI. Timeline The timeline section of the application allows Volunteers and community members to map out the stages of their projects. The approximate length of time will be auto-filled using the beginning and end dates from the Project Classification page. Volunteers should first make sure that there is enough time left in their service to complete the project and submit the completion report. Depending on the type of project, the timeline may be created in days, weeks, or months. A detailed timeline can be updated and modified throughout the life of the project and be used as a project management tool. It is also an excellent way for Volunteers and community members to assign responsibilities to each activity that will take place to complete the project.

VII. Do No Harm Although most projects are thoroughly planned and created with good intentions, unintended consequences occasionally may occur. The Do No Harm section of the application is an exercise for the Volunteer and community counterpart to think through potential consequences of implementing the proposed project. These can be consequences for community members, to the environment, and possibly for the Volunteers. Each question should be answered resulting in a Do No Harm discussion with the Volunteer’s community.

VIII. Monitoring and Evaluation One of the most important aspects of planning a project is determining how to evaluate and measure the success of the project once completed. These indicators of success must be determined prior to project implementation.

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The first part of the monitoring and evaluation section two shows indicators that must be measured across all small grants projects: capacity development and new technology and practices. For the capacity-development indicator, the Volunteer must first determine the unit of measurement. Will the project target individuals, service providers, or an organization/association?

• Individual members of the community: The main focus of the Peace Corps, whether directly through the work of Volunteers and their work partners or through those trained by Volunteers, is to build capacities at the individual level so community members are empowered to improve their quality of life, be they individual students, farmers, clients served by a nongovernmental organization (NGO), or others.

• Service providers, trainers, or multipliers: Strengthening capacity of service providers, trainers, or other multipliers, be they teachers, leaders of an NGO, peer educators, or managers of a farmers’ cooperative, helps ensure local leadership for continuing activities into the future.

• Organizations/associations: Strengthening organizational capacity, such as management skills within an NGO, helps support other activities in an ongoing, functioning, and supportive environment.

For this indicator, the community and Volunteer will choose the one that best fits the project and determine a target for that indicator. For the new technology and practices indicator, the community and Volunteer must determine if project participants adopted or changed their behavior according to the project. For example, if the project focuses on gardening, how many participants are expected to adopt new fertilization or planting techniques? If this were a latrine-building project, how many community members might incorporate hand-washing after using the new latrine? In the next section, the project’s goals and objectives will be pre-filled from earlier in the application. Each objective must have an indicator which will signify if the objective was successfully implemented. Volunteers will need to determine who is responsible for collecting data for each indicator, and when the data collection should take place. Below is an example of the application evaluation matrix (based on examples provided in the application document):

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IX. Detailed Budget The detailed budget is the monetary representation of the small grants project. The budget must cover all aspects of the project. It must include the amount being requested from the funding source, the amount that the community is matching, and any funds donated by a third party. The Volunteer and community counterpart should consider all aspects of the project that will require funds. It may be helpful to group items within categories, as each line item must be placed within one of seven budget categories: labor, equipment, materials/supplies, land/venue rental, travel/per diem/food/lodging, materials transport, or other. Certain line items may be split between funding sources. For example, a building project may need a large amount of concrete. If the community is supplying a portion of the concrete, but does not have enough for the entire building, the project may also request funding for additional concrete. It is important that Volunteers read the Grant Requirements section very carefully before submitting their budgets. The following items require a signed waiver from the Volunteer’s country director:

- Giveaways, prizes, and celebrations - Motor vehicles and other conveyances - Volunteer costs - International travel - Scholarship programs for PCPP and SPA only

The following items may not be included in the project budget:

- Land and other capital assets - Loan funds - “Sub-grant” projects - Contingency funds/multiple funding sources - Alcoholic beverages - Recurring costs

Objective Indicator(s) Who When Cookstoves: By the end of XXXX [date], X# households or institutions will adopt fuel efficient low emission cookstoves to safeguard the health of their children and families.

1. Number of individuals trained on the health benefits of using improved cookstoves; 2. Number of individuals trained on the construction and maintenance of improved cookstoves; 3. Number of cookstoves (new or rehabilitated) purchased or constructed for households or institutions (e.g., health clinics, schools) with assistance of Volunteers or partners.

PCV and community counterpart

For indicator 1 and 2, counts will take place following successful completion of trainings. For indicator 3, count of cookstoves will take place at end of project.

GOAL Community

members will use improved cookstoves, water, and

sanitation to reduce

infectious diseases and

improve environmental

health.

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Once the budget is complete, the Volunteer must make sure that the amount requested for the project does not total over $10,000 and that the community contribution adds up to at least 25 percent of the total budget. For example, if the amount requested is exactly $10,000, then the community contribution must be no less than $2,500.

X. Grant Type Selection Menu Depending on the grant the Volunteer and community have selected, there may be additional information required before submitting the final application. Volunteers should work with their small grants coordinator to ensure they are filling out the correct information for documenting and reporting purposes. Once Volunteers reach the Grant Type Selection, they should select the program from which they are requesting funding. Once within the program page, they will be directed to complete reporting information for each grant. Volunteers can find specific programmatic information about each grant below:

XI. Signature Forms Three signature forms must be printed and signed by the appropriate individuals in order to submit a Small Grants Program application. These signature forms will be submitted to PC/headquarters and kept in the project’s file. They should be updated if a project is transferred to another Volunteer.

A. Liability Form The liability form is a legal document that is signed by the individual taking responsibility and custody of the project funds. The liability form is also signed by the director of management and operations to ensure and signify that the project budget was reviewed for accuracy and that all costs are allowable and appropriate.

B. Project Agreement The project agreement is a snapshot of the project including project title, overall budget totals, community name and Volunteer information. The project agreement states that the funds received for the project will be used in accordance with the approved narrative and budget. This is signed by the Volunteer and the country director.

C. Press Authorization Form The press authorization form allows Peace Corps to promote small grants projects. Projects may be included in press releases and photos of the project may be posted on the Peace Corps website.

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Processing Approved Projects

I. Processing Guidelines for all Small Grant Projects

A. Prior to Receiving Funds • Volunteers and their community partners will be provided with specific instructions

from individual posts on how to account for the use of small grant project funds, the level of documentation required to substantiate procurements, and any additional, post-specific accounting procedures.

• Volunteers and/or community organizations may not spend their own money on project expenses prior to receiving grant funds from the Peace Corps with the expectation of being reimbursed.

B. Disbursement of Small Grants Funds All funding sources may disburse funds in a variety of ways depending on the preference of the post:

• Disbursement directly to community organization • Disbursement into a joint account • Disbursement to Volunteer in a separate project account • Disbursement to Volunteer in his/her primary account10 • Disbursement directly to the vendor/service provider

Volunteers must speak with their small grants coordinator to see which options are available to them prior to project funding. Whoever receives the funds for a small grant project must sign the liability form included in the small grants application.

II. Processing Approved SPA/VAST/ECPA/FTF Grants Once the Volunteer’s project is approved, the small grant coordinator sends the Peace Corps small grant Project Agreement (signed by the appropriate community representative, the Volunteer, and the country director) to the post’s administrative unit. The post will request payment from Peace Corps/headquarters. On average, grant recipients will receive funds within two to three weeks after approval. FTF small grants projects are fully funded once USAID approves the Environmental Review Form. Only then will the Volunteer receive funds to start the project.

10 Peace Corps/headquarters does not recommend commingling a Volunteer’s living allowance with small grant funds. If small grant funds must be deposited in a Volunteer’s account, Peace Corps/headquarters recommends opening a project account following the small grant deposit. If there are fees associated with opening an additional account, it may be included in the project budget.

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III. Processing Approved PCPP Grants Once a PCPP project has been approved by the small grants committee, the small grant application must be submitted to PC/headquarters, which receives donations for all PCPP projects and obligates funds. The figure below shows the PCPP funding process.

A. Fundraising for Projects Upon receipt and acceptance of the application, PCPP markets the project in several ways. Each Volunteer should submit a list of individuals and organizations with whom the Volunteer has a personal connection. These generally include friends, family, and professional contacts. GGM will contact each of these referrals and post the Volunteer’s summary on the Peace Corps website. Volunteers can help by contacting friends, family, fraternal organizations, civic groups (such as Kiwanis or Rotary Clubs), and other parties to tell them about their projects. All donations and potential donors should be directed to GGM. While there is no guarantee a project will be funded, on average it takes three to four months for projects under $4,000 to be funded. The fundraising time frame depends on the project type, amount requested, strength of the Volunteer’s referrals, and clarity of the summary provided in the application. Projects remain online until they are fully funded, at which point the

Post notification - PC/headquarters sends notification to post that funds are en route

- PC/headquarters includes list of donors (that have given consent) for Volunteer to be in touch with donors

PCPP project fully funded - PC/headquarters staff takes project offline, creates authorization memo and creates obligation

- Signed authorization memo is given to CFO/GAP to send funds to designated account

PCPP project posted on the PC website for fundraising - PC/headquarters contacts (email or mail) all referrals included in PCPP proposal

- Any donor may give to PCPP projets fundraising online - Volunteer may request budget amendment if neccessary

Approved PCPP proposal submitted to PC/headquarters - PCPP accepts proposals throughout the year; they may be funded at any time

- Country director may submit country fund authorization at this time to partially or fully fund project

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project is automatically removed from the website and online donations can no longer be made toward the project. Note: Should a proposed project not reach full funding, GGM does not release the portion of funds raised for that project. If the Volunteer would still like to access the amount raised, s/he would need to submit a budget amendment (see section C) and a narrative detailing how a scaled-down version of the project would be possible with less funding. If this is not possible, the project will be canceled and funds will not be released.

B. Obligation and Sending of Funds from PC/headquarters Once a project is fully funded, the Partnership Program authorizes funds to be disbursed to the designated account. All funds remain in PC/headquarters and are obligated toward each Partnership Project as the project is fully funded. Once funds are obligated by GGM, the authorization memo is sent to the Office of Global Accounts Payable in Peace Corps/headquarters, which sends funds to the Volunteer’s Peace Corps bank account. This process typically takes 7-10 business days from the time the project was removed from the Peace Corps website. Once funds are sent to the Volunteer, the authorization memo is sent to post with a donor list and information on the sponsors. This information is provided so the Volunteer can write thank-you letters and send progress updates to donors. As a government agency, Peace Corps is bound by the Privacy Act: “No agency shall disclose any record which is contained in a system of records by any means of communication to any person, or to another agency, except pursuant to a written request by, or with the prior written consent of, the individual to whom the record pertains.” If a donor gives permission for us to share his/her contact information with the Volunteer, it will be included on the donor list. If s/he does not give permission, PC/headquarters staff is not able to include the information. Peace Corps is only able to share donor names and contact information with Volunteers and, if included, personal messages. Peace Corps cannot include donation amount.

C. Budget Amendments Budgets may be altered prior to receiving any funds. To request a change, the Volunteer must submit an updated budget to the small grants coordinator for approval. The Volunteer should include a written justification of the budget changes and be mindful of the following: • Decreased budgets: If the new amount has already been raised, the funds will be

released to the Volunteer. • Increased budgets: The community contribution must still total at least 25 percent of

the new project total. Should a project need additional funds after already receiving full funding, budget amendments will be considered on a case-by-case basis.

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D. Use of Country Funds to Support PCPP Projects The objective of country funds is to give posts the ability to better leverage private-sector support for approved Peace Corps Partnership Program projects. Each post may determine its own guidelines for distributing country funds—when they are available—to PCPP projects. These funds are available only for approved PCPP projects and are awarded at the discretion of the country director.

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Grant Management

I. Volunteer, Community, and Post Management of Grant Funds It is essential that all small grant funds are accounted for and properly documented throughout the grant process. Though funded from varying sources (SPA, VAST, ECPA, and FTF from the U.S. federal government, PCPP from private donors), all programs and projects are subject to audit by the funding agency or grantor. In addition, the Peace Corps inspector general may review a post’s Small Grants Program documentation during the course of an audit or program evaluation. Therefore, it is essential that Volunteers, their communities, and their counterparts, maintain thorough record of the use of all funds. Any deviation from the project budget or issues with funds during implementation should be communicated immediately and documented with the small grants coordinator and/or the DMO.

II. Using the Project Log and Verifying Receipts As part of a Volunteer’s orientation to the Small Grants Program, or upon approval of a project, Volunteers and their community partners will receive instructions on how to account for the use of project funds and the documentation they are required to obtain to support purchases and procurements. At a minimum:

• When a project is approved, post will provide the Volunteer with the completion report form (in MS Excel), which includes a project log. Each disbursement or use of project funds must be documented in the project log. Volunteers should work with the local organization to keep the project log up-to-date, thereby building the community’s capability to manage and account for grant funds. If the community organization does not have computer access, the Volunteer should print out the project log and fill it in manually with the community organization. The project log is incorporated into the completion report to ensure consistency in financial reporting.

• Invoices should be obtained for all purchases whenever possible. Invoices should be

legible, include an English translation, and contain the name of the vendor, the name of the purchaser, date of the purchase, and an itemization of materials purchased, including quantity, unit cost, and the total amount of the purchase.

• For goods and services where invoices are not traditionally used (e.g., in-kind

contributions, artisan skilled labor, transportation), the Volunteer must collect a receipt to confirm the date the service was provided, the name of the service provider, the

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number of hours or days worked, an hourly or daily rate, and the total amount paid, converted to U.S. dollars.

• All invoices and receipts must be submitted by the community and Volunteer to the

post’s small grants coordinator. Invoices representative of the community contribution amount (including in-kind transactions) should be clearly labeled, as should invoices representing costs covered by grant funds. While both should be submitted for review, the post needs to keep only the grant fund expenditure receipts on file. Along with the invoices and receipts, Volunteers and their community must submit the completion report (including project log) upon conclusion of the project and prior to the Volunteer’s departure from post.

• The final project log should provide an accounting of all expenditures of grant funds. If a

purchase was made with grant funds that was not outlined in the initial budget, Volunteers must still document the transaction in the project log. The project log will be reviewed by the post DMO, who will ensure that all funds are accounted for and that funds have been spent in accordance with the approved budget. Discrepancies must be resolved prior to the COS date of the Volunteer. The DMO has the right to request proof from a Volunteer to verify a purchase or transaction. Volunteers must be prepared to provide this if they are unable to account for lost or missing receipts or invoices.

III. Post-Approval Changes to Grants Each Peace Corps post has established processes for allowing changes to project activities or budgets after the project is underway. If changes do not require additional funds, are relatively minor, do not change the project scope or objectives, or do not entail significant revisions to the approved budget, then it may not be necessary for the post to review or approve the changes. However, if changes significantly alter the approved activities, budget, scope, or objectives of the project, then the Volunteer or community must receive prior approval from the small grants committee to ensure that funds being used appropriately. For budget changes in particular, Volunteers should contact their small grants coordinator to discuss and determine post procedures and the documentation required to authorize these changes. For some posts, there may be a suggested threshold of change allowed for budget categories. This may range from an increase of 20-25 percent. If post approves an increase to a budget, it need not be a lengthy process, but may be carried out by email or phone, depending upon available means of communication. Posts will ensure that post-approved changes are appropriately documented in the project file. Volunteers should be sure to account for the increased budget in the completion report and project log.

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IV. Supplemental Funding Amendments Generally, once funds have been received, it is not possible to add additional funds to projects already underway. Volunteers and their communities should receive sufficient orientation to the Small Grants Program (or participate in PDM Training) to enable them to prepare budgets that include all necessary and appropriate costs. Volunteers may also consult with the small grants committee or financial staff at post during the project development process for assistance in preparing budgets. Thus, requests to add additional funds to existing projects should not be necessary for project implementation. In the case of budget shortfalls resulting from poor budgeting, exchange rate fluctuation, or incorrect calculations, the Volunteer should work with the small grants coordinator to discuss with his/her community to suggest:

• The community contribute additional funds; • The project be redesigned to stay within the original approved budget; and/or • The budget be revised to eliminate unnecessary costs and cover the shortfall.

In exceptional cases where supplemental funding must be approved, following thorough review and discussion with the small grants coordinator, the DMO or smalls grants coordinator will contact the appropriate PC/headquarters small grants contact for approval before proceeding to amend any project budget. The Volunteer should never directly contact PC/headquarters as each post has a process for communicating and managing its Small Grants Program.

• If there are funds in the country fund, the country director could allocate funds to project in need of more funds.

• With approval from PC/headquarters, the project could be placed back online to fundraise for the additional amount needed.

• When the project is complete, the Volunteer must report on the total amount of funding received for the project.

PCPP

• Country director must review and approve increases to the project budget. The DMO will manage the adjusted disbursement of funds to the Volunteer.

• When the project is complete, the Volunteer must report on the total amount of funding recieved for the project.

SPA

VAST

ECPA

FTF

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V. Unused Funds Any unused funds at the end of the project should be returned to post. Volunteers or community organizations cannot use remaining funds to start new projects or to significantly expand the scope of the original project. As exemplified in a Volunteer’s small grants training, a well-designed and -managed project should be completed on time and within the determined budget. It is expected that approved project budgets and timelines closely correspond to actual expenditures and timelines. However, at the discretion of the post small grants committee, if only a small amount of funds remain, the Volunteer may be able to use them to fund additional activities that fall within the scope of the original project. If the small grants committee requests the funds be returned, the Volunteer must comply and follow post procedures to return the funds, providing receipts and submitting the completion report to both the small grants coordinator and the DMO. For PCPP, when funds are returned, they will be placed in the Global Fund. For SPA, VAST, ECPA, and FTF the post will be able to use the “recovered” budget authority to support additional grants during the same fiscal year. Volunteers must submit their completion reports in advance of their COS dates to ensure enough time for any financial issues to be addressed. Should a Volunteer COS and leave the country without returning unused funds, the Peace Corps will pursue repayment from the Volunteer’s resettlement allowance.

VI. Lost or Stolen Funds If grant funds are lost or stolen during the implementation of a project, the Volunteer must immediately notify the small grants coordinator at post. The small grants coordinator will notify the CD, safety and security coordinator, and other staff as appropriate. The Volunteer will be asked to submit a memo explaining the circumstances of the loss or theft. The CD may further ask the Volunteer or community to file a police report. If the project is funded by SPA, the CD will notify the USAID mission of the incident, the amount lost, the steps taken to resolve the situation, and the possibility of recovering funds. Based on the circumstances of the incident, the CD will determine whether or not the Volunteer has been negligent and should be held liable for repaying all or part of the small grant funds. The CD will then prepare and send a memo to the appropriate PC/headquarters small grants contact of his/her determination of liability. This memo is to be submitted as soon as possible, along with a copy of the consent and liability form that was signed at the time of project approval. If the CD determines that the Volunteer was negligent, the Volunteer will be responsible for repaying the funds. The DMO should initiate collection procedures at post to obtain repayment as soon as possible by issuing a bill of collection to the Volunteer. Generally, when funds are lost or stolen, the Volunteer and the community work together to determine what can be accomplished with the remaining funds. Additional funds will not be

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awarded to replace lost or stolen funds. When submitting the small grants completion report, the Volunteer must report on the full amount of funding allocated to the project, including the lost or stolen funds.

VII. Early Termination and Transfer of Project Responsibility

A. Early Termination In the event of a Volunteer’s early termination (including resignation, medical separation, administrative separation, or interrupted service) with an ongoing small grant project, the post will determine whether the project can be completed. If all small grant funds have been disbursed and used to carry out the major portion of project activities, the post may allow the community to finish the project on its own, without the need to transfer responsibility to another Volunteer. However, if the project is not near completion, and major project activities remain incomplete or funds remain unspent, the post will either cancel the project and collect unspent funds or transfer responsibility to another willing Volunteer. (Note: In the case of an official evacuation or temporary suspension of a Peace Corps post, the post will be responsible for contacting the appropriate PC/headquarters small grants contact for advice on closing out open projects.) Volunteers whose projects are canceled or transferred to another Volunteer should be prepared to update post staff on the status of their projects, and ensure an accurate account of all grant funds are up-to-date and provided to the post. All project logs, receipts, and expenditures already incurred against the project funds must be reviewed and verified by post staff.

B. Transfer of Project Responsibility If post approves the transfer of a project to another Volunteer, both Volunteers must be prepared to complete a Transfer of Responsibility form provided by post (Appendix 4). This document officially releases the first Volunteer from the project, and passes all responsibility to the new Volunteer. If the new Volunteer is also directly accepting funds from the first Volunteer, a Volunteer consent and liability form (available in the small grant application) must be completed and kept on file at post. The new Volunteer must accept the transfer willingly, be familiar with the community and location, be oriented on his or her responsibilities in overseeing the completion of the project, and agree to assume responsibility for all reporting obligations. An explanation for any discrepancies between funds allocated to the Volunteer(s) and receipts collected should be documented and attached to the Transfer of Responsibility form. Posts must send a copy of the Transfer of Responsibility form to Peace Corps/headquarters small grants contact. Transfer of a project may occur at any time during the project’s lifecycle. For PCPP projects, projects may be transferred even if the

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project is still fundraising online. Volunteers should never write a project with the intention or assumption of transferring it to another Volunteer.

C. Canceling a Project If a project is to be canceled and funds have been dispersed to the Volunteer, all unexpended funds up to the point of cancelation must be returned to post. The collection should be completed before the Volunteer leaves the country. If the Volunteer leaves the country without accounting for and returning unused small grant funds in his or her possession, the post will forward the matter to the CFO claims office for processing as a debt to the Peace Corps. If possible, the Volunteer should submit the completion report for the project, regardless of whether the project is complete or not, to the small grants coordinator. The report should include information on the progress made toward meeting project objectives, the results or outcomes achieved, and a final financial accounting.

VIII. Logos, Branding and Marking

A. Peace Corps Logo Guidance The Peace Corps name and logo may be used only to designate programs authorized under the Peace Corps Act, which may include Peace Corps recruiting and Third Goal activities. The Peace Corps logo may not be altered or manipulated in any manner. Also, the Peace Corps name and logo may not be used by third parties for commercial or fundraising purposes, or for endorsement or promotion of such third parties or their respective goods or services. In accordance with these guidelines, the name and logo may be used by/for the following:

• In connection with Peace Corps programs, events, and activities that are held to publicize Peace Corps programs at home and abroad (e.g., handouts and logo items to promote Peace Corps programs to the local community), Peace Corps publications (e.g., posts’ annual reports or materials, such as brochures, paper fliers), and banners and logo items (e.g., T-shirts) for service project events, trainings, and PST swearing-in ceremonies.

• In connection with a Volunteer’s primary or secondary projects with the expressed written consent of the respective country director.

Volunteers may use the Peace Corps logo to raise awareness for their small grants projects. However, any flier or website must direct donors to the Peace Corps website. For example, if a Volunteer is creating a flier to raise awareness for his/her PCPP project fundraising online, the flier must direct donors to the Peace Corps website, where the project is listed. Volunteers should contact the Office of Communications at [email protected] for further guidance on the use of the Peace Corps logo.

mailto:[email protected]

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Additionally, Peace Corps-produced web banners may be used on websites and social media sites and are available for downloading at www.peacecorps.gov//resources/media/psa/webbanners. The web banners are intended to promote general awareness and recruitment for the Peace Corps. Web banners must link to the Peace Corps website and may not be altered in any way. The use of a web banner does not constitute authorization to use the Peace Corps name and logo separate and apart from the banner.

B. SPA and FTF Logo Guidance For SPA and FTF projects, the Peace Corps has agreed to co-brand or co-mark with USAID or Feed the Future logos. This means where SPA/FTF-funded materials, equipment, construction site, etc., are branded with the Peace Corps name and/or logo, they must be co-branded with USAID in a similar manner. There is no requirement to use the Peace Corps name or logo, but if it is used, the USAID name and logo must also be used. Additionally, there are waiver provisions that must be followed if co-branding does not occur, i.e., the Peace Corps logo is used without the USAID name or logo. Specific instructions on waivers and the placement of the USAID logo are available at the USAID website at http://www.usaid.gov/branding/. Posts should contact the USAID mission for in-kind support (stickers, signs, etc.).

C. VAST Logo Guidance For VAST projects, the Peace Corps has also agreed to co-brand or co-mark with PEPFAR. Three logos exist for use by the U.S. government and implementing partners to brand PEPFAR. The PEPFAR logo should be the lead brand, followed by any specific agency logos, when marking PEPFAR-funded materials or programs in-country. Currently, PEPFAR country-specific logos exist for 30 countries, and they should be used when marking country-specific materials. Those countries without a country-specific logo should use the general PEPFAR logo for foreign audiences. The country-specific logos are available in JPG and EPS. Whenever the materials will be viewed by a foreign audience that is not country-specific, including at international conferences, the PEPFAR general logo for foreign audiences must be used. This logo includes an image of the standard, rectangular U.S. flag paired with the PEPFAR logo. In addition, the general logo for foreign audiences must be used anytime a PEPFAR program is implemented by the Department of State rather than another implementing agency (for example: Ambassador’s small-grant program, Regional Procurement Support Office-RPSO, etc.). This logo includes an image of the standard, rectangular U.S. flag paired with the PEPFAR logo.

http://www.peacecorps.gov/resources/media/psa/webbanners

http://www.usaid.gov/branding/

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The PEPFAR general logo for U.S. audiences should be used when marking program materials that are not country-specific and directed at an American audience. The general logo is available in JPG and EPS in color and JPG in grayscale. Contact the small grants coordinator for access to the appropriate PEPFAR logo and further guidance on logo size and placement.

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Small Grants Completion Report The Small Grants Completion Report is a tool to help Volunteers and their communities assess their small grant projects. The information included in the report will be submitted to Peace Corps/headquarters for internal reporting and reporting to donors. Volunteers should work with their communities to fill out the reports and return them to the appropriate staff member at post for review. The report contains links on the table of contents and buttons on the menu to the left for navigation between sections.

I. Main Menu The main menu contains a checklist for each section that must be completed before the report may be submitted. Each box should be checked when a section is completed and only submitted once every box has been checked. This menu should be used to guide Volunteers and their communities as they complete the completion report.

II. Instructions Volunteers should thoroughly read the instructions section of the completion report. Volunteers should be sure to engage their communities and counterparts at this early stage of reviewing the document, as both will play a role in completing the report. The instructions provide an overview of each of the sections enclosed in the completion report. They also provide guidance for the process of utilizing the completion report during project implementation in order to keep thorough records of all spending and outcomes. The completion report may best be viewed as a live document, to be maintained and updated as the project unfolds. In this way, the project will be better documented and Volunteers and their counterparts will have a tool to track progress and spending. The instructions also provide a detailed guide to the logistics behind filling out the completion report. Volunteers should play close attention to these directions as they outline the specific cells necessary for Volunteers and their communities to complete. Some cells auto-fill, so if Volunteers have inquiries about filling out the document, they should refer back to the instructions page. After the completion report is finished, the instructions indicate that Volunteers should submit the document to the appropriate staff person at post. Volunteers should submit their completion report to the small grants coordinator, who will then direct Volunteers toward next steps and will ensure other appropriate staff review and approve the document.

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III. Project Classification The Project Classification page contributes much of the necessary information needed to track and classify a Volunteer’s project. It is essential for Volunteers to carefully review this section prior to completing it. Much of the information requested mirrors the application, so Volunteers should use the information in the application to fill out the sections accurately. As outlined in the instructions section, the cells to complete are color coded, and there are comments on some cells with further guidance. Volunteers should use the application as a guide if necessary. Often there have been changes during project implementation (currency exchange, cost of materials, numbers of participants, etc.), and Peace Corps/headquarters acknowledges that there are often slight shifts in projects. Volunteers should be sure to record accurately the project as it occurred. The Project Cost Breakdown (in U.S. dollars) will auto-fill based on the information the Volunteer provides in local currency (LCU) in the project log section of the completion report. Volunteers should review this section of the project classification page after completing the project log section later in the document to ensure all information translated correctly. The Budget Narrative section of the project classification page should be filled out by the Volunteer as it gives a brief overview of general items and/or services funded.

IV. Project Description The Project Description section of the completion report is the page where Volunteers and their communities can put into words the process of project implementation. There are five sections Volunteers should complete, each with a maximum word count of 250 words: 1) Goals Achieved, Changes in the Initial Objectives, and Community Feeling; 2) Capacity and Skills Built; 3) Sustainability; 4) Unexpected Events and Recommendations; and 5) Lessons Learned and Promising Practices. Volunteers should use the prompt questions to guide their responses and are encouraged to be as descriptive as possible. The narrative sections may be distributed to donors, donor organizations, internal Peace Corps departments, and outside agencies. Volunteers and counterparts should complete this section in a professional and comprehensive manner, representing accurate outcomes as they took place during the project implementation. Volunteers should ensure the section is completed in English and has been reviewed for errors.

V. Monitoring and Evaluation Upon completing a project, it is important to evaluate the work that was accomplished. The monitoring and evaluation matrix represents a quantitative picture of the project’s success, and

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should be utilized throughout project implementation to ascertain if the original goals and objectives were met. When filling out the completion report, Volunteers should use the exact same goals and objectives outlined in their small grants application. While some aspects of a project may be altered throughout implementation, the goals and objectives should remain the same, and therefore, should be reflected as the same in the completion report. As the project progresses, Volunteers should utilize both the application and completion report to complete the appropriate columns on the Monitoring and Evaluation section of the completion report. While the goal, objective, and indicators are the same in the completion report, the “Who” and “When” columns have been replaced with “Results” and “Comments.” Below is an example of the Completion Report Evaluation Matrix (based on examples provided in the application document):

Objective Indicator(s) Results Comments Cookstoves: By the end of XXXX [date], X# households or institutions will adopt fuel efficient low emission cookstoves to safeguard the health of their children and family.

1. # individuals trained on the health benefits of using improved cookstoves; 2. # of individuals trained on the construction and maintenance of improved cookstoves; 3. # of cookstoves (new or rehabilitated) purchased or constructed for households or institutions (e.g., health clinics, schools) with assistance of Volunteers or partners

1. 30 individuals trained on health benefits of cookstoves 2. 48 individuals trained on construction of cookstoves. (Make sure to note the genders and ages of participants)

Most participants invited attended the trainings. Further trainings have been requested in neighboring villages.

GOAL Community

members will use improved cookstoves, water, and

sanitation to reduce

infectious diseases and

improve environmental

health.

VI. Project Log The project log is an integral part of not only the completion report but throughout the project implementation itself. Volunteers and their counterparts should utilize the log to track and manage project expenditures. It may be utilized as both a final project budget and a spending log. As outlined in the instructions, any cells colored brown will be auto-filled once the blue cells of the budget/log have been filled out as necessary. All purchases and/or in-kind contributions should be recorded, as well as all community contributions. The project log should be completed in English using local currency (LCU). Reminder: A summary of the project log will auto-fill on the project classification page under the Project Cost Breakdown section.

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VII. Tell Your Story This section offers the Volunteer the opportunity to provide to the Peace Corps a small vignette of the project to give life to the work the Volunteer and his/her community have done. The Peace Corps may use this section for press or communication purposes, or distribution throughout the agency, so Volunteers should consider explaining the context and cultures of their communities when providing description. It is an open space for sharing results and meaningful experiences in the development and implementation of a small grant project. Volunteers may wish to highlight the struggles, the particular successes, and the general benefit of the project on their community, though it can be about any portion of the project. PC/headquarters urges Volunteers to be creative and thoughtful in completing this section. Volunteers are encouraged to include photos with their completion reports. These pictures may be used to highlight successful projects to donors and partners.

VIII. Grant Type Selection Each small grant project, as with the application, may require specific summary information for documenting and reporting purposes. Some small grant funding sources require specific indicator information, and Volunteers should discuss with their small grants coordinator of the details when completing this section. Once Volunteers reach the Grant Type Selection, they should select the program from which they received funding. Once within the program page, they will be directed to complete reporting information. Below is a list of the different programs and the information requested by each:

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IX. Signature Forms In order to close a project, there are specific signatures from post staff that must be obtained upon completion and prior to the Volunteer’s COS. The signatures required to close a project are kept on record and serve as proof that a project was completed, all funds were used as the Volunteer and community budgeted and documented, and there are no longer any residual duties or ties of the Volunteer or Peace Corps to the project.

•No further information or materials needed. Volunteers may proceed to Signature Pages. PCPP

•All SPA projects must report on a set of standard indicators applicable to the Volunteer's country of service. •Volunteers should indicate their country of service. •Volunteers should then select the appropriate program element that their project falls under (the same program element indicated in the application). •Volunteers will then complete the USAID indicators requested, which identifiy the number of beneficiaries resulting from the project.

SPA

•All VAST projects must report on a set of standard indicators established by the Peace Corps and PEPFAR (the funding source). •Based on the VAST requirements, Volunteers should indicate the beneficiaries under each indicator.

VAST

•The ECPA program, available in select Central and South American countries, is a recipient of USAID funding, also requires custom indicators that are specific to Peace Corps post programs. •Volunteers should record the outputs and outcomes of their project in the appropriate blue boxes. •Volunteers should complete all sections that are relevant to their projects.

ECPA

•All indicators are reported by Peace Corps Posts participating in Feed the Future. Some regional programs are also available, such as the West Africa Food Security Program.

FTF

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A. Completion Signatures The following signatures are required to close out a project:

• Peace Corps Volunteer • Peace Corps small grants coordinator • Peace Corps director of management and operations • Peace Corps country director

B. Press Authorization Form The Press Authorization Form allows Peace Corps to utilize any information about the project in the media. It covers the use of photographs and other materials resulting from a Volunteer’s work in-country.

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Project Closeout At the close of a project, Volunteers and their communities must prepare and submit a small grant completion report to their small grants coordinator and PC/headquarters. For PCPP, the Small Grants Completion Report also acts as a final report for donors who supported the project. Volunteers are encouraged to include photographs showing the implementation and final result of projects with their completion reports. PC/headquarters will share the completion reports with donors and other agencies upon request.

I. Completion Report As outlined in the previous section, the completion report mirrors the small grant application. Within the completion report, Volunteers will be able to designate which funding source they utilized. Similar to the application, each funding source has some unique required information that must be reported on by the Volunteer when submitting the completion report. Volunteers should utilize the completion report to record goals, outcomes, project spending, and indicators throughout implementation.

A. Submission of Completion Report to Post’s Small Grants Coordinator by the Volunteer

A Volunteer must submit the small grant completion report as soon as his or her project is completed, and no less than one month prior to his or her COS date. Volunteers should be aware of post policy regarding the submission of their completion materials and the timeline outlined for them to do so. Failure to submit reports in a timely manner reduces the opportunity to address problems that may be identified in the report. The small grants coordinator will review the reports to ensure completeness, and verify that all materials requested in the completion report are included. Volunteers who have completed a SPA, VAST, ECPA, or FTF project must be sure to fill out the appropriate indicator information (see below). If Volunteers have questions in the completion of these sections, the small grants coordinator is available for assistance. In order for a project to be closed out, the small grants completion report must be signed by the Volunteer, the small grants coordinator, the director of management and operations (DMO), and the country director.

B. Submission of Completion Report to PC/headquarters by Post’s Small Grants Coordinator

Once a Volunteer’s project has been reviewed, funds have been returned (if necessary), and all appropriate documents have been signed, the post will submit the completion report for SPA, VAST, and PCPP projects to Peace Corps/headquarters. Peace Corps/headquarters will review all documents, ensure all unused funds have been

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returned and appropriate paperwork has been submitted, and will then officially close the project in the system. FTF completion reports are submitted to the Feed the Future coordinator in-country.

II. Reporting and Indicators Within the completion report, as with the application, indicators and reporting are required. This data is submitted to Peace Corps’ partnering agencies and initiatives (USAID, Feed the Future, PEPFAR) to report on the wide and comprehensive work Volunteers implement in the field.

III. Verifying Budget and Receipts Upon submission of a Volunteer’s completion report, the small grants coordinator or the director of management and operations (DMO) will review and verify that all purchases and procurements are accounted for and that funds were spent in accordance with the approved budget. Discrepancies will be resolved prior to the COS date of the Volunteer. Volunteers should be attentive in compiling their final budgets and managing their project log throughout implementation. All purchases should be recorded in the project log, and each purchase and contribution (in-kind or monetary) must be supported by receipts, invoices, or other documentation.

•PCPP does not require indicators as other funding sources. This is because funds are not provided by the U.S. government, but rather, by the private sector. •Volunteers should complete the completion report in the same manner they would for any other program, as often donors (foundations, corporations, high-net-worth individuals) request the completion report for their files and reporting. •All reporting on projects is essential to monitoring and evaluating the Peace Corps Small Grant Program as a whole and its effect on the communities the Peace Corps serves.

PCPP

•If the project was funded by SPA, VAST, ECPA, or FTF, Volunteers generally must report on one or more indicators. The small grants completion report contains a subset of standard indicators that correspond with activities that Volunteers typically engage in under the program elements for which Peace Corps posts frequently receive funds. The indicators found in the completion report will match those included in the small grants application that the Volunteer submitted.

SPA

VAST

ECPA

FTF

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The small grants coordinator or DMO should ensure the following:

• Each disbursement of funds is documented in the project log; • A final budget may also be provided in addition to the project log; • Invoices are included for all large purchases. Invoices must be legible, include an

English translation, and contain the name of the vendor, name of the purchaser, date of the purchase, an itemization of materials purchased including quantity and unit cost, and the total amount of the purchase;

• Receipts are included for goods and services where invoices are not traditionally used (e.g., artisan/skilled labor, in-kind contribution). Receipts confirm the date the service was provided, the name of the service provider, the number of hours or days worked, an hourly or daily rate, and the total amount paid, converted to U.S. dollars;

• In the event that funds were spent but have not been recorded with a receipt or invoice, the Volunteer must be prepared to provide proof of purchase in another manner to their DMO or post staff. This may be done by recording photographs or testimonies from local community members;

• Once the completion report, receipts, and finances have been reviewed and verified, the Volunteer and small grants coordinator must ensure that all required signatures are obtained;

• Upon obtaining all necessary signatures, the completion report will be submitted to PC/headquarters for close out.

For SPA, VAST, and PCPP, all completion reports should be submitted to PC/headquarters upon obtaining all signatures. FTF completion reports will be submitted to the regional coordinator. Without all signatures, projects cannot be closed.

IV. Returning Funds Once the completion report has been reviewed at post, the DMO will determine if there are unused funds that must be returned to PC/headquarters. If there are unused funds at the end of project implementation, Volunteers should try to utilize those funds to support or enhance their project in line with its original goals and scope. If that is not possible, Volunteers must return the funds. The collection of these funds must be completed before the Volunteer leaves the country. If funds remain and are turned in by the Volunteer with the completion report, the DMO will collect the funds and either return them to Peace Corps/headquarters or make them available to other small grant projects in-country by returning them to the SPA, ECPA, or FTF program funds at post. If the Volunteer does not return unused small grant funds in his or her possession, the post will contact Peace Corps/headquarters to send a bill of collection to the Volunteer, requesting repayment of the funds in question. When received from the Volunteer, these

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funds will be posted against the original obligation(s) and the Volunteer will incur no additional liability.

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Frequently Asked Questions 1. How does the Peace Corps define “community”?

Community is the geographic locale in which a Volunteer lives and works. 2. Are Volunteers and their communities permitted to apply for and manage more than

one small grant at a time? Yes, in certain conditions. A Volunteer may only administer one grant per funding source at a time and must close out any previous grants prior to applying for a second. If a Volunteer is interested in implementing two separate projects at the same time (for example, one funded by PCPP and one funded by SPA), s/he may do so, but should first receive permission from post. Additionally, Volunteers cannot utilize two different funding sources to contribute to the same project (e.g., SPA and PCPP funds may not be applied to the same project).

3. Can Volunteers and communities receive multiple grants consecutively?

Yes. A second grant, after an initial grant has been fully completed, may be useful to support a more complex phase of a project, include new or additional members of the community, or simply address another community-identified need. In this case, Volunteers might encourage community self-reliance by requiring a higher percentage of community contribution. In a situation where two or three Volunteers are located in the same community, they may either work together on one project or each may work with a different community group to address a different community-identified need.

4. Can small grants support projects that involve camps or an activity run in a camp-like

setting? Yes, under certain conditions. Please consult the grants requirement section that provides information about training and skills building camps.

5. What kinds of costs are allowed?

Please see Allowable and Unallowable Costs in the small grants volunteer handbook.

6. How are community contributions (in-kind or monetary) documented? Costs covered by community contribution (in-kind or monetary) should be documented with receipts, invoiced, and recorded in the completion report project log. The Volunteer must submit this documentation to post along with the completion report.

7. What happens when a Volunteer is medically separated, undergoes early termination,

changes sites, or is unable to complete a small grant? Volunteers are expected to complete projects as designed. When this is not possible due to an unexpected change in service, projects may be canceled, allowed to continue under community oversight, or transferred to another willing Volunteer.

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It is highly recommended that Volunteers avoid transferring the responsibilities for a small grant to another Volunteer, especially if the receiving Volunteer is new to the community. A new Volunteer should not be required to assume responsibility for a project s/he did not help design and develop. New Volunteers cannot be expected to have the same level of knowledge, necessary skills, or interest in a project designed by another Volunteer. If no grant funds have been disbursed, the Volunteer should consider canceling the project prior to their departure from post, if possible. If all grant funds have been disbursed and project activities are nearly complete, the community may finish the project on its own, without the need to transfer responsibility to another Volunteer. The departing Volunteer should submit a completion report detailing the work completed and the use of funds from inception up to the date of separation from service. If the small grant project is transferred to another Volunteer, the departing Volunteer must account for all funds and the new Volunteer must complete all required forms, including a Volunteer Consent and Liability Acceptance form. The new Volunteer must accept the transfer and agree to assume responsibility for all reporting obligations. All funds and receipts should be accounted for at the time of the transfer.

8. Can approved small grants be amended to increase funding or to fix budgeting or cost

overruns? Budgets may be altered prior to receiving any funds and the Volunteer must submit an updated budget to the small grants coordinator for approval. The Volunteer should include a written justification of the budget changes and be mindful of the following: Decreased budgets: If the new amount has already been raised, the funds will be released to the Volunteer. Increased budgets: The community contribution must still total at least 25 percent of the new project total. Should a project need additional funds after already receiving full funding, budget amendments will be considered on a case-by-case basis. Generally, once funds have been received, it is not possible to add additional funds to existing, implementing projects. Volunteers and their communities should receive sufficient orientation to the Small Grants Program (or participate in PDM training) to enable them to prepare budgets that include all necessary and appropriate costs. Volunteers may also consult with the small grants committee or financial staff at post during the project development process for assistance in preparing budgets. Thus, requests to add additional funds to existing projects should not be necessary for project implementation.

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In the case of budget shortfalls resulting from poor budgeting, exchange rate fluctuation, or incorrect calculations, the Volunteer should work with the small grants coordinator to discuss with his/her community to suggest the following:

• The community contribute additional funds; • The project be redesigned to stay within the original approved budget; and/or • The budget be revised to eliminate unnecessary costs and cover the shortfall.

The DMO or small grants coordinator will contact the appropriate PC/headquarters small grants contact before proceeding to amend any project budget. The Volunteer should never directly contact PC/headquarters as each post has a process for communicating and managing their small grant programs.

9. What should a Volunteer do if funds are left over at the end of a project? Should these

funds be returned to Washington? In most instances, funds remaining at the end of the project should be returned to post. Volunteers or community organizations cannot use remaining funds to start new projects or to significantly expand the scope of the original project. It is important to understand that well-designed and -managed projects are completed on time and within budget. However, at the discretion of the small grants committee, if only a small amount of funds remain, they may be used for additional reasonable costs that complement the purpose and scope of the original project.

10. What should a Volunteer do if grant funds are lost or stolen?

If small grant funds are lost or stolen the Volunteer should immediately notify the small grants coordinator at post. The Volunteer will be asked to write a memo explaining the circumstances of the loss or theft, and, in some cases, may be instructed to file a police report. Based on the circumstances of the incident, the CD will determine if the Volunteer was negligent and should be held liable for repaying all or part of the grant funds. If the CD determines that the Volunteer was negligent, then the Peace Corps will hold the Volunteer responsible for repaying the funds. Generally, when funds are lost or stolen, the Volunteer and the community should work together to revise the project to determine what can be accomplished with the remaining funds. The Peace Corps will not replace lost or stolen small grant funds. When submitting the project completion report however, the Volunteer and community are required to report on the full amount of funding allocated to the project, including the lost or stolen funds.

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11. Volunteer to Volunteer: What lessons learned and advice have Volunteers shared regarding small grants? “The most important lesson that was learned was that the workshops need to be held in the local communities. Participation increases and the hands-on activity at a neighbor’s farm helps demonstrate that the idea can in fact be done successfully in the target community.” “I have learned that having the community group write most of the project is a strong indicator of the interest and growing capacity of the organization.” “Make sure that the community really wants the project. If the community had not been behind it, such a project never could have worked. As it was, the SPA project was perfectly matched to the needs and the will of the community.” “Be prepared for success. If you know or sense that you are tapping into a deep unmet need of your community, if you are persistent and execute well, you will eventually attract more potential participants than you may be prepared for. Also, engage participants as facilitators, trainers, and educators: Train them, nurture them, and they will help expand the program in a sustainable way.” “Prior to writing the proposal, do a formal needs assessment with the community or school. Hold formal meetings to discuss the logistics of the project and insist that the [host country national] counterpart and other English-speaking staff are an integral part of the grant writing.” “Let counterparts and community members take ownership of the project as much as possible, and always give credit where credit is due.” “Start small with an example. Then expand to other villages who demonstrate self-motivation. Really know the community before working with them. Be patient before diving into a project. Have a counterpart who the people respect.” “If Volunteers live in communities that want to hold English camps, they should first conduct training for teachers in how to plan and run English camps and then have the teachers and community members hold the English camp.” “Volunteers should work hard to ensure that expectations for a project fit the most likely outcomes and be certain that all community members are well-informed of all activities so they can participate. Nothing hurts a project within a small community more than disappointment and perceived ‘false advertising’ of benefits or people claiming they were never informed of possible training or benefits.”

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“I would say that you can plan and prepare as much as you want but the unexpected (or even the unwanted) will still occur. Nevertheless, remain calm and continue as it should all work out in the end.” “I do feel that this training was effective and successful for the following reasons. Every session was taught using a visual aid while the majority of the sessions also included practical or interactive activities. After every session, we reviewed the main points and every morning we reviewed the previous day’s sessions. I believe that this constant repetition was a large factor in the participant’s learning.” “Solicit money early, at least a year before COS date. The construction takes longer than one would think.” “Double the implementation period when you write proposals; be flexible and oversee developments of the project on a daily basis; be imaginative in finding solutions to problems you’ll encounter; be patient; and remember that implementing project is often a learning experience for both us and our host country counterparts.”

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APPENDICES Appendix 1: Estimating the Value of In-Kind Contributions

Appendix 2: Small Grants Waiver Form

Appendix 3: Guidance for Determining Participants vs. Beneficiaries

Appendix 4: Transfer of Responsibility Form

Appendix 5: Managing Grant Funds and Project Closeout

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Appendix 1: Estimating the Value of In-Kind Contributions

Many grant programs include community contribution requirements. Such requirements are put in place for several reasons. They help to ensure that the community is directly invested in the project and will continue to take ownership of the project throughout its life. They limit the risk of a community becoming dependent on outside funding to purchase materials or services that the community already has or can obtain with its own resources. Finally, encouraging a community to identify resources within its reach recognizes the assets a community already possesses and can build upon to support further development. For these reasons, it is important that community contribution requirements are taken seriously. However, many of the organizations that Peace Corps Volunteers work with do not have the ability to make their contributions in cash. To ensure that cash-poor communities are not excluded from receiving grants, contributions may, in some cases, be provided as in-kind goods or services. In-kind contributions may include labor, meeting or conference space, transportation, food and lodging, materials, supplies, or any number of other costs. Where in-kind contributions are allowed, it is important that contributed goods or services are carefully and reasonably valued so that the grant recipient’s level of commitment and investment can be accurately gauged. Volunteers should work with their community counterparts to determine the value of in-kind services, and are also advised to seek input from post staff—in particular, host country national staff who are familiar with local costs. The following four guidelines will help Volunteers determine a reasonable value for in-kind contributions:

1. In-kind contributions should only be counted if they are reasonably necessary to meet the objectives of a project.

- Example 1: Manual labor for digging a hole and laying cement is a valid in-kind contribution for a latrine-building project.

- Example 2: A television set should not be counted as an in-kind contribution for a latrine-building project.

2. The value of in-kind contributions should be estimated at the price the organization would have to pay to purchase the specific good or service being contributed.

- Example 1: Manual labor should be valued based on the daily rate of a day laborer in the community times the number of days labor provided.

- Example 2: Although provision of meeting space might be a valid in-kind contribution for a project, a small meeting room in an office should not be valued at the price it would cost to rent a large conference room in a fancy hotel down the street.

3. When valuing in-kind goods or services, estimates must take into account the state of repair or quality of the contributed item (in other words, a used item should not be valued at the price the item would cost if it were new).

4. In-kind contributions should be actual contributions that will be provided during the life of the funded project itself; they should not include speculative future contributions that will be made in the future after the project has been completed.

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Appendix 2: Small Grants Waiver Form

PEACE CORPS SMALL GRANTS PROGRAM

Small Grants Waiver Form PROJECT # -

Grant Type FY Country Code Grant # Date:

Country:

PCV Name:

Project Amount:

Please check all unallowable costs for which a waiver is being issued. Written justification and total sum in U.S. dollars must be provided for each:

Motor Vehicles/Other Conveyances Volunteer Costs

Giveaways, Prizes, Celebrations Other: _____________________________

International Travel

Justification for waiver: ____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

This project meets all other relevant Small Grants Program requirements and has been reviewed and approved by the small grants committee:

Yes No

This request follows the guidance and procedures set forth in the Small Grants Volunteer Handbook issued October 2012. __________________________________________ ___________________ Peace Corps Country Director’s Signature Date

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Appendix 3: Guidance for Determining Participants vs. Beneficiaries Volunteers and their communities are required to record on the small grants application and completion report the number of people in their community that participate in and benefit from the project. It can be difficult to distinguish participants from beneficiaries and to make an accurate determination of how many people belong in each category. This document provides guidance on how to accurately determine the number of participants and the number of beneficiaries for each project and how to avoid double counting. I. Characteristics of Participants vs. Beneficiaries: Participants: Those directly involved in the design and implementation of the project, including those who attend trainings or workshops.

• Participants are usually involved in the project during the project planning and/or implementation phases.

• Participants receive a transfer of knowledge, skills, and attitudes as a result of participation in project activities and might go on to teach what they learned during the project to other community members.

Beneficiaries: Those who receive an indirect benefit from the execution of the project, but are not involved in its planning or execution.

• Beneficiaries often profit from the execution of the project after the main period of project implementation has passed.

• Beneficiaries may receive a transfer of knowledge, skills, or abilities from participants who were trained during the main period of project implementation.

II. Who Should Not be Counted as Participants or Beneficiaries?

• Community members who could potentially participate in or benefit from the project if they chose to but are not reasonably expected to do so.

• The entire population of a village, unless they all actually participate in or benefit from the project in a tangible, measurable way.

• Community members who receive a benefit from the project within an infinite time frame.

III. Examples of Direct vs. Indirect Beneficiaries

1) A community works with their Volunteer to develop a project for a teacher training. The project is to be regional in scope, involving the travel of ESL teachers from 10 villages to the regional capital to take part in a three-day workshop. Following the training, the teachers will utilize new activities and teaching techniques that they learned at the training in their classrooms. There will be 10 teachers at the workshop and each teacher has three classes of approximately 60 students.

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For this project, the teachers are the participants and those they will teach after the training are the beneficiaries. Thus, there are a total of: • 10 participants • 1,800 beneficiaries

2) A youth group approaches a Volunteer asking him to help them raise funds for a community

youth center. Together, they develop a project that includes building the center and planning a series of events to take place at the center that will focus on giving information about educational and work opportunities available to youth in the area. There are 15 youth in the group and there is an expected attendance at the events of an additional 70 youth. Following the planned events, it is expected that a portion of the youth in the community will make use of the new space for meetings and other events. For this project, the participants are the 15 youth in the group and the 70 youth who will attend the initial informational sessions. The beneficiaries are those who will likely make use of the meeting space in a reasonable time frame following the project’s implementation. Assuming that there are about 800 youth in the town in general, but that not all of them will make use of the center, the beneficiaries could be determined by the Volunteer and the community making an informed guess of what portion of those youth would use the center. Thus, there are a total of: • 85 participants • 400 beneficiaries (assuming half of the village youth would make use of the space)

3) A Volunteer and her community work together to plan a project to educate the community

about malaria prevention and treatment and distribute treated mosquito nets to every household in the community. During the project, 15 local volunteers will attend a training about malaria prevention and treatment and will then be responsible for holding a town meeting to educate citizens about the disease and distribute bed nets. Following this meeting, the volunteers will visit homes in the community of people who did not attend the town meeting to distribute nets and educate household members about malaria. A representative of the volunteers will also appear on a radio show in the regional capital to talk about the disease. The population of the town is 2,000. The expected number of listeners to the radio show is 6,000. For this project, the participants are the 15 volunteers and the beneficiaries are the citizens of the town being educated about the disease and receiving bed nets as well as the listeners of the radio show. Thus, there are a total of: • 15 participants • 8,000 beneficiaries

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4) A Volunteer works with the Water Committee of a town to plan a project to build a large-

diameter well in a part of town where water is scarce. The population of the town is 5,000, but the Volunteer and the Water Committee estimate that only about 200 people will make regular use of the well. The participants of this project are the members of the Water Committee and the beneficiaries are the citizens who will make regular use of the well. Thus, there are a total of: • 8 participants (the Water Committee) • 200 beneficiaries

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Appendix 4: Transfer of Responsibility Form


Transfer of Responsibility

PROJECT # - Grant Type FY Country Code Grant #

Original Volunteer Coordinator:

COS date:

New Volunteer Coordinator:

COS date:

Volunteer Transfer Agreement We, respectively, the undersigned, ________________________________, stationed in_______________________________, and_________________________, stationed in ______________________, both Peace Corps Volunteers (PCVs), hereby agree to the following: 1. The purposes and objectives of this Small Grants project shall be completed by the new PCV

coordinator along with the community organization because the original PCV coordinator is no longer able to complete the approved project.

2. If any small grant project funds have been spent, the previous PCV project coordinator will submit a completion report detailing any funds spent and an explanation of the current project status.

3. The original PCV has passed on to the new PCV the total amount of project funds remaining, purchase receipts, project logs, and all other information related to Small Grant funds already expended in his or her possession.

4. The new PCV is aware of reporting and other obligations related to the management of the project and will submit the Small Grants Completion Report to the post’s small grants coordinator upon completion of project activities and well in advance of COS.

5. The transfer of responsibility is undertaken willingly by the new PCV and the assumption of the responsibility for the project shall in no way hamper the regular duties of the new PCV project coordinator and that the site of the project is readily accessible to said PCV.

Status of funds and expenditures to date (a) Total small grant funds originally awarded (US$) (b) Expenditures to date, verified by receipts (US$) (c) SPA funds remaining (US$)

If the sum of line (b) and line (c) does not match the amount in line (a), please attach an explanation and justification for the discrepancy.

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Consent and liability Is the new PCV accepting funds directly? (Yes/No) If the answer is “yes,” a signed Peace Corps Volunteer consent and liability acceptance form must be attached to this document This agreement shall be effective upon the approval of the Peace Corps country director. Original Peace Corps Volunteer Signature Date New Peace Corps Volunteer’s Signature Date Approved by: Administrative Officer’s Signature Date Peace Corps Country Director’s Signature Date

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Appendix 5: Managing Grant Funds and Project Closeout


Tips for Managing Grant Funds and Project Closeout Managing Grant Funds:

DOs - Keep your funds only in your grant bank account (if applicable).Check all prices and availability of the

products that you would like to buy prior to withdrawing grant funds. - To the maximum extent possible, withdraw grant funds in small amounts—only enough for the purchases

you will make today. - Make all purchases for your project together with your local project partners. - Keep copies of all receipts and submit with completion report. - Together with your local project partner, record entries into the grant project log on the same day of the

purchase.

DON’Ts - DO NOT keep grant funds at home. - DO NOT travel by yourself with large sums of money. Receipts

- You must collect and keep receipts for all purchases made with grant funds. - Receipts should include the date, vendor name, items purchased (including quantity and unit price), and

should bear the signature of the vendor or vendor stamp. - If the vendor does not have a receipt, you should draft a receipt or purchase a receipt booklet to properly

record the costs.

Grant Closeout Procedure: 1. Group the receipts in categories and subtotal them (i.e., transportation, logistics, stationary, etc.); 2. Use clear tape to tape your receipts to blank paper (regular-sized paper); 3. Number all of your receipts; 4. Use the project log to list your expenses, using corresponding receipt numbers for easier cross-

referencing; 5. Prepare the completion report, using the appropriate template; 6. Email your completion report and project log to the small grants coordinator, your APCD, and the DMO; 7. Bring originals of the receipts to the small grants coordinator to verify the receipts against the project log,

and check to make sure that everything is otherwise complete; and 8. If you have unspent funds, you must bring them to the cashier, who will issue a bill of collection and collect

the remaining funds from you. 9. Please provide the small grants coordinator and your APCD with any feedback you have regarding your

project and “lessons learned” that might help Volunteers in the future who are engaging in similar projects.

small grants volunteer handbook 2012 - peace corps

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